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Financial Industry Regulatory Authority (FINRA) › Issuer Exemption

Dechert LLP

Research Reports of Certain Covered Investment Funds Now Receive Safe Harbor Protection from Being Deemed Offers or Sales

Dechert LLP on

Pursuant to new Rule 139b (Rule) under the Securities Act of 1933, the publication of a “research report” on “covered investment funds” by an unaffiliated broker-dealer will not be deemed an “offer for sale or offer to sell”...more

Katten Muchin Rosenman LLP

FINRA Issues Notice on the Application of the Mark-Up Rule to Exempted Government Securities Transactions

Katten Muchin Rosenman LLP on

The Financial Industry Regulatory Authority released Regulatory Notice 16-03, which discusses the Securities and Exchange Commission’s approval of amendments to FINRA Rule 0150 (Application of Rules to Exempted Securities...more

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