Peter LaVigne

Peter LaVigne

Goodwin

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SEC Approval of Amendments to FINRA Corporate Financing Rules Will Reduce Burdens on Parties in Public Offerings

The SEC recently approved amendments to simplify and refine the scope of FINRA corporate financing and underwriter conflicts of interest rules. The amendments include modifications that will affect not only underwriters and...more

6/19/2014  /  Compliance , Conflicts of Interest , Corporate Financing , Corporate Financing Rule , Financial Industry Regulatory Authority (FINRA) , Public Offerings , Securities and Exchange Commission (SEC) , Underwriting
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