Gail Neely

Gail Neely

Latham & Watkins LLP

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FINRA Issues Guidance and Sets Implementation Dates for Corporate Financing Rule Amendments

The amendments modernize, restructure, and streamline Rule 5110. On March 20, 2020, the Financial Industry Regulatory Authority, Inc. (FINRA) published Regulatory Notice 20-10 (RN 20-10), which provides additional guidance...more

4/3/2020  /  Amended Regulation , Corporate Financing , Corporate Governance , Financial Industry Regulatory Authority (FINRA) , New Guidance , Securities and Exchange Commission (SEC)
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