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Internet Financial Industry Regulatory Authority (FINRA) Securities and Exchange Commission (SEC)

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Website & Social Media Archiving to Comply with FINRA Books & Records Rules

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Investment firms and other financial institutions are subject to the strict recordkeeping and communication regulations laid out by both the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange...more

Katten Muchin Rosenman LLP

Corporate and Financial Weekly Digest - Volume IX, Issue 40

In this issue: - SEC Division of Corporation Finance Issues New C&DI Related to Rule 147 and Website/Social Media Use - Director of SEC Division of Corporation Finance Gives Speech on Securities Disclosure ...more

Troutman Pepper

FINRA: Funding Portals, Start Your Engines!

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The regulatory framework for the crowdfunding exemption created under the Jumpstart Our Business Startups Act of 2012, or JOBS Act, is beginning to take shape. On the same day the Securities and Exchange Commission (SEC)...more

Stinson - Corporate & Securities Law Blog

FINRA To Require BrokerCheck Link On Internet Advertising

Financial Industry Regulatory Authority, Inc., or FINRA, has filed a proposed rule change with the SEC to amend FINRA Rule 2267 (Investor Education and Protection) to require that FINRA members include a prominent...more

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