The amendments require FINRA members to update their retail websites to include readily apparent references and hyperlinks to BrokerCheck.
On October 8, 2015, the Securities and Exchange Commission (SEC) approved a...more
FINRA proposes a new “lite” registration regime for private placements and M&A activity.
The Financial Industry Regulatory Authority’s (FINRA) recently issued Regulatory Notice regarding proposed rules (Proposed...more
Recent SEC no-action letter provides business brokers relief from federal broker-dealer registration requirement.
On January 31, 2014, the Division of Trading and Markets of the U.S. Securities and Exchange Commission...more