The proposed amendment seeks to modify the existing framework of FINRA Rule 2210 to accommodate the use of certain projections and targeted returns.
On November 13, 2023, the Financial Industry Regulatory Authority...more
The proposal would significantly impact finders by granting tailored exemptive relief to individuals engaging in limited capital raising activity.
Key Points:
..The Proposal would provide a conditional exemption that...more
The amendments modernize, restructure, and streamline Rule 5110.
On March 20, 2020, the Financial Industry Regulatory Authority, Inc. (FINRA) published Regulatory Notice 20-10 (RN 20-10), which provides additional guidance...more
The amendments expand certain exemptions and provide additional guidance under Rules 5130 and 5131 with respect to equity IPO allocations.
On December 19, 2019, the Financial Industry Regulatory Authority (FINRA) issued...more
1/22/2020
/ Amended Rules ,
Broker-Dealer ,
Charitable Organizations ,
Corporate Issuers ,
Exemptions ,
Financial Industry Regulatory Authority (FINRA) ,
Foreign Investment Entities (FIEs) ,
Guidance Update ,
Initial Public Offering (IPO) ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Retirement Plan ,
Securities and Exchange Commission (SEC) ,
Sovereign-Controlled Companies ,
Special Purpose Entities
The proposal represents a major step in what promises to be a full-scale overhaul of FINRA’s Capital Formation Rules -
On April 12, 2017, the Financial Industry Regulatory Authority, Inc. (FINRA) published Regulatory...more
Amendment to FINRA Communications Rule would put member firms on a more equal footing with investment advisers.
In February 2017, the Financial Industry Regulatory Authority, Inc. (FINRA) announced a proposed amendment...more