FINRA released Regulatory Notice 20-10, which discusses the changes to modernize the Corporate Financing Rule.  The implementation date is bifurcated with implementation for Rule 5110(a)(3)(A), (a)(4)(A)(ii) and (a)(4)(A)(iii) effective as of March 20, 2020 and implementation of the rest of the rule on September 16, 2020.

See the Regulatory Notice here.

The new rule text is available here.

A Legal Update will follow.

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