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Proposed FINRA Corporate Financing Rule Change
  • Mayer Brown
  • USA
  • November 12 2018

On October 30, 2018, the Financial Industry Regulatory Authority, Inc. (“FINRA”) filed a proposed rule change to amend FINRA Rule 5110 (Corporate


SEC Issues Investor Bulletin on “SAFE” Crowdfunding Security Offering
  • Buckley Sandler LLP
  • USA
  • May 17 2017

On May 9, the SEC’s Office of Investor Education and Advocacy released an Investor Bulletin addressing crowdfunding risks associated with Simple


Derivatives Quarterly Newsletter: 1st Quarter 2017
  • Sidley Austin LLP
  • USA, Global, Hong Kong
  • May 16 2017

On January 5, 2017, the CFTC approved the NFA's amendment to NFA Compliance Rule 2-36, which requires forex dealer members to provide customers with


Lessons from FINRA's Lincoln Financial cybersecurity fine
  • Freshfields Bruckhaus Deringer
  • USA
  • November 18 2016

Two things struck me about FINRA's $650,000 fine of Lincoln Financial this week: that Lincoln was charged with a failure to have written policies


SEC To Approve FINRA and MSRB Pay-To-Play Rules
  • Katten Muchin Rosenman LLP
  • USA
  • September 2 2016

On August 25, the Securities and Exchange Commission (SEC) issued notices (Notices) to the Financial Industry Regulatory Authority and the Municipal


Investment Management Legal Regulatory Update - August 2016
  • Morrison & Foerster LLP
  • USA
  • August 16 2016

First, the SEC required funds to designate a Chief Compliance Officer. Then, the SEC proposed that funds designate a liquidity risk manager and


IRS Announces Fines Paid to FINRA Are Not Deductible
  • Morgan Lewis
  • USA
  • August 1 2016

The Internal Revenue Service (IRS) in low-level advice recently announced its position that certain fines paid to the Financial Industry Regulatory


FINRA revises its proposal on private placements
  • Paul Weiss
  • USA
  • October 28 2011

The Financial Industry Regulatory Authority (FINRA) has proposed new Rule 5123 (Private Placements of Securities), which would require FINRA member firms (“members”) to provide investors in private placements with detailed information about the intended use of proceeds of the private placement, including offering expenses and compensation of members.


FINRA proposes Rule 5123 to require filing of private placements
  • Holland & Knight LLP
  • USA
  • October 21 2011

On October 4, 2011, the Financial Industry Regulatory Association (FINRA) filed a proposal with the SEC to adopt new Rule 5123.


The evolution of a rule: FINRA proposes Rule 5123 in lieu of proposed Rule 5122
  • Morrison & Foerster LLP
  • USA
  • October 10 2011

FINRA stated that it is proposing to adopt new Rule 5123 (Private Placements of Securities) to ensure that investors in private placements are provided with detailed information about the intended use of offering proceeds, the offering expenses and offering compensation.