The amendments modernize, restructure, and streamline Rule 5110.
On March 20, 2020, the Financial Industry Regulatory Authority, Inc. (FINRA) published Regulatory Notice 20-10 (RN 20-10), which provides additional guidance...more
The amendments require FINRA members to update their retail websites to include readily apparent references and hyperlinks to BrokerCheck.
On October 8, 2015, the Securities and Exchange Commission (SEC) approved a...more
As amended, Regulation A now provides an exemption from registration for certain issuers offering up to US$50 million of securities in a 12-month period.
On March 25, 2015, the Securities and Exchange Commission (SEC)...more