The Financial Industry Regulatory Authority on July 26, 2019 filed with the Securities and Exchange Commission a proposal to amend FINRA Rules 5130 and 5131 (collectively, Rules) (Proposed Amendments).1 The Proposed...more
9/12/2019
/ 501(c)(3) ,
Alternate Investment Vehicles (AIVs) ,
Capital Formation ,
Corporate Issuers ,
Equity Markets ,
Exclusions ,
Exemptions ,
Family Businesses ,
Financial Industry Regulatory Authority (FINRA) ,
Foreign Investment ,
Foreign Investment Fund ,
Investment Funds ,
Investors ,
Market Allocation Scheme ,
Offerors ,
Private Equity ,
Proposed Amendments ,
Public Offerings ,
Securities and Exchange Commission (SEC) ,
Sellers ,
Stock Issuance
The Securities and Exchange Commission has solicited the views of exchanges, broker-dealers and investors on a range of questions related to market data since at least 1999 when it published SEC Concept Release: Regulation of...more
12/21/2018
/ Broker-Dealer ,
Capital Markets ,
Data Management ,
Electronic Trading ,
Equity Markets ,
Fees ,
Investors ,
Market Access Rule ,
Market Data ,
Market Participants ,
Regulation NMS ,
Request For Information ,
Roundtable ,
Securities ,
Securities and Exchange Commission (SEC) ,
Stock Exchange ,
Transparency
The Financial Industry Regulatory Authority (FINRA) has published frequently asked questions (FAQs) for complying with new FINRA Rule 2165 (Financial Exploitation of Specified Adults) and amendments to FINRA Rule 4512...more
2/1/2018
/ Broker-Dealer ,
Disbursement Issues ,
Disclosure Requirements ,
Elder Issues ,
Exploitation ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Adviser ,
Investor Protection ,
Investors ,
New Rules ,
Securities and Exchange Commission (SEC) ,
Temporary Hold ,
Trusted Contact Person
The U.S. federal securities laws and the rules of U.S. self regulatory organizations (such as the Financial Industry Regulatory Authority) impose certain reporting and compliance obligations on investment advisers and funds....more
1/24/2018
/ Beneficial Owner ,
Benefit Plan Sponsors ,
CFTC ,
Commodities ,
Commodity Trading Advisors (CTAs) ,
Compliance ,
CPO ,
Cross-Border Transactions ,
Department of Labor (DOL) ,
Derivatives ,
Employee Retirement Income Security Act (ERISA) ,
Equity Securities ,
Filing Deadlines ,
Filing Requirements ,
Financial Industry Regulatory Authority (FINRA) ,
Foreign Investment ,
Form 13F ,
Form ADV ,
Form D Filing ,
Form PF ,
Investment Adviser ,
Investment Funds ,
Investors ,
NFA ,
Offerings ,
Private Funds ,
Private Placements ,
Registered Investment Advisors ,
Reporting Requirements ,
Schedule 13D ,
Securities and Exchange Commission (SEC) ,
Securities Traders ,
Securities Violations ,
Self-Certification ,
Verification Requirements ,
Virtual Currency
Technology has spawned the formation of new internet-based marketplaces for illiquid and restricted securities. In most instances, these markets are operated by entities registered with the U.S. Securities and Exchange...more