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Broker-Dealer Compliance + Regulation

FINRA Identifies Concerns with Marketing of Real Estate Investment Products

FINRA’s concern with the marketing of real estate-related products is reaching fever pitch. Its recent Regulatory Notice draws recent reviews of communications and findings in recent FINRA disciplinary actions, and gives...more

Morrison & Foerster LLP

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 below. ...more

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