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FINRA answers firms’ questions on social media rules

USA - August 23 2011 Last week FINRA released Regulatory Notice 11-39, Social Media Websites and the Use of Personal Devices for Business Communications, to supplement its previous Regulatory Notice 10-06, Social Media Web Sites, issued in January 2010...

Stacy E. Nathanson.

FINRA issues guidance notice reminding broker-dealers of their due diligence and suitability obligations in private placement offerings

USA - April 22 2010 The Financial Industry Regulatory Authority (FINRA) issued a Regulatory Notice to its members (FINRA Regulatory Notice 10-22) outlining and reminding them of their regulatory responsibilities in connection with Regulation D private placement offerings....

Brian Daughney.

SEC fires warning shot to unregistered finders

USA - June 25 2009 By Administrative Order dated June 19, 2009, the Securities and Exchange Commission (SEC) found two individuals and Ram Capital Resources, LLC in willful violation of the broker-dealer registration provisions of Section 15(a) of the Securities and Exchange Act....

Brian Daughney.