Corporate Financing Rule Public Offerings

News & Analysis as of

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

SEC Eases FINRA Corporate Financing Rule

The SEC has approved changes to FINRA Rule 5110, which among other things - - narrow the scope of the definition of “participation or participating in a public offering;”...more

FINRA Releases FAQs on its Public Offering Review Process

FINRA recently released a set of frequently asked questions (“FAQs”) relating to its public offering process and the Corporate Financing Rule (Rule 5110). The guidance provided in the FAQs is summarized...more

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