Is today a Business Day? Good question, depends who you ask. The SEC’s EDGAR filing system is closed today for the Juneteenth Holiday. Because today is a federal holiday, today will not count as a business day in the filing...more
The Financial Industry Regulatory Authority, Inc. (“FINRA”) recently released Regulatory Notice 20- 10, which discusses the recent changes to Rule 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements) (the...more
On October 30, 2018, the Financial Industry Regulatory Authority, Inc. (“FINRA”) filed a proposed rule change to amend FINRA Rule 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements) (the “Rule”), which is...more
11/14/2018
/ Compensation & Benefits ,
Corporate Financing Rule ,
Debt Securities ,
Derivatives ,
Filing Requirements ,
Financial Industry Regulatory Authority (FINRA) ,
Institutional Investment ,
Lock-Up Requirements ,
Private Placements ,
Proposed Rules ,
Public Offerings ,
Securities and Exchange Commission (SEC) ,
Underwriting