Amy Natterson Kroll

Amy Natterson Kroll

Morgan Lewis

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FINRA Comment Request: OTC Symbols Assigned to Digital Asset and Other Unlisted Equity Securities

The Financial Industry Regulatory Authority (FINRA) published a regulatory notice (RN 21-32) on September 14, 2021 requesting comment on its policy relating to the assignment of OTC symbols to unlisted equity securities....more

9/22/2021  /  Broker-Dealer , Comment Period , Equity Securities , Financial Industry Regulatory Authority (FINRA) , Rule 144A , Securities Act of 1933 , Securities and Exchange Commission (SEC)

FINRA’s Proposed Rules on Gifts, Gratuities, and Non-Cash Compensation

If adopted as proposed, the rules will largely expand supervisory resources needed to oversee compliance. After a two-year silence, the Financial Industry Regulatory Authority (FINRA) has proposed amendments to Rule 3220...more

9/14/2016  /  Broker-Dealer , Comment Period , Compliance , De Minimis Claims , Financial Industry Regulatory Authority (FINRA) , Gifts , Non-Cash Compensation , Proposed Rules , Securities
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