This article provides a detailed overview of the final rules, Regulation Crowdfunding, which will be applicable to crowdfunding offerings conducted in reliance on Section 4(a)(6) of the Securities Act of 1933 as amended (the “Securities Act”), which was added by Title III of the Jumpstart Our Business Startups Act of 2012 (the “JOBS Act”), as well as to those intermediaries participating in such offerings.
Avoiding financial exploitation of older investors has been on our regulators’ radar screens for several years.
FINRA recently filed a proposed rule change with the Securities and Exchange Commission in order to adopt the final rules relating to Title III crowdfunding “funding portals.”
With any luck, you can go your entire career in the securities industry without ever participating in the dreaded “Wells process.”
The SEC has approved a proposal to amend FINRA Rule 2210, which governs “Communications with the Public.”
FINRA Requests Comment On Revised Price Disclosure Information Standards for Corporate and Agency Debt Securities
The Financial Industry Regulatory Authority issued a regulatory notice requesting comment to revisions on a proposed rule that would enhance information disclosure standards for retail-size customer trades of corporate and agency debt securities.
The Securities and Exchange Commission has approved two Financial Industry Regulatory Authority rules that apply to equity and debt research.
The Financial Industry Regulatory Authority proposed to amend FINRA Rule 4210 to establish margin requirements for to-be-announced transactions, specified pool transactions and collateralized mortgage obligations that are issued in conformity with a program of an agency or government-sponsored enterprise (collectively, Covered Agency Transactions).
The Financial Industry Regulatory Authority has issued Regulatory Notice 15-33 to provide guidance on liquidity risk management practices for senior management and risk managers to consider and implement.
Fans of this blog (or, at least, readers of this blog who are fans of Jeopardy) will no doubt remember Alan’s prior post, published a few weeks ago, and discussing a recent case that FINRA’s Department of Enforcement brought against one of our clients.