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FINRA Proposes Rule Making Substantive, Organizational and Terminology Changes to the Corporate Financing Rule

USA - April 12 2019 On April 11, the Financial Industry Regulatory Authority filed with the Securities and Exchange Commission a proposed rule change to make certain…

Stanley V. Polit

FINRA Issues Regulatory Notice Regarding Departing Registered Representatives

USA - April 12 2019 On April 5, the Financial Industry Regulatory Authority issued Regulatory Notice 19-10 addressing the responsibilities of member firms when…

Stanley V. Polit

FINRA Proposes Rule Extending the Pilot Program Related to Exchange-Listed Securities

USA - April 12 2019 On April 5, the Financial Industry Regulatory Authority filed with the Securities and Exchange Commission a proposed rule change to extend the pilot…

Stanley V. Polit

FINRA Proposes Rule to Adopt the Remaining Legacy NASD and Incorporated NYSE Rules as FINRA Rules

USA - April 12 2019 On April 8, the Financial Industry Regulatory Authority filed with the Securities and Exchange Commission a proposed rule change to adopt the…

Stanley V. Polit

FINRA Files Proposed Rule Change to CAB Rules Governing Qualification, Registration and Continuing Education of Associated Persons of CABs

USA - March 15 2019 The Financial Industry Regulatory Authority (FINRA) is filing with the Securities and Exchange Commission a proposed rule change to amend the Capital…

Leonard M. Licht