On January 8, 2026, FINRA issued Regulatory Notice 26-02 announcing proposals for a new rule and revisions to two existing rules. FINRA seeks to revise Rule 4512’s provisions regarding trusted contact persons, to increase...more
1/14/2026
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Securities Regulation
On May 9, 2023, FINRA issued Regulatory Notice 23-08 (the “Notice”) to remind members of their obligations when selling private placements (i.e., unregistered securities sold pursuant to safe harbors of the Securities Act of...more