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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…

Lloyd S. Harmetz, Heath D. Linsky

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…

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