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FINRA Updates Form for Private Placement Filings

USA - March 16 2021 In its March 2021 Regulatory Notice 21-10, FINRA announced that it has updated the form that FINRA members use to file offering documents and related…

Heath D. Linsky, Lloyd S. Harmetz.

FINRA Issues Reminder Relating To Mark-Up Disclosure Requirements For Structured Notes

USA - February 17 2021 The Financial Regulatory Authority (FINRA) recently issued a detailed report on compliance issues noted in its examination program. In this alert, we…

Lloyd S. Harmetz.

FINRA Issues Comprehensive Guidance on Compliance and Risk Monitoring

USA - February 11 2021 The Financial Regulatory Authority (“FINRA”) recently issued a comprehensive report on compliance issues noted in its examination program (the…

Lloyd S. Harmetz.

FINRA Proposes Additional Filing Requirements for Private Placements

USA - November 9 2020 In October 2020, the Financial Industry Regulatory Authority (FINRA) proposed a rule amendment that would expand its filing requirements relating to…

Lloyd S. Harmetz.

SEC Issues Joint Statement Relating to Complex Financial Products

USA - October 30 2020 On October 28, 2020, the U.S. Securities and Exchange Commission (SEC) Chairman Jay Clayton, together with the directors of three SEC divisions…

Kelley A. Howes, Lloyd S. Harmetz, Susan I. Gault-Brown.