The Financial Industry Regulatory Authority, Inc. (“FINRA”) recently released Regulatory Notice 20- 10, which discusses the recent changes to Rule 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements) (the...more
On October 30, 2018, the Financial Industry Regulatory Authority, Inc. (“FINRA”) filed a proposed rule change to amend FINRA Rule 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements) (the “Rule”), which is...more
11/14/2018
/ Compensation & Benefits ,
Corporate Financing Rule ,
Debt Securities ,
Derivatives ,
Filing Requirements ,
Financial Industry Regulatory Authority (FINRA) ,
Institutional Investment ,
Lock-Up Requirements ,
Private Placements ,
Proposed Rules ,
Public Offerings ,
Securities and Exchange Commission (SEC) ,
Underwriting
The New York Stock Exchange LLC (“NYSE”) proposes to amend Rule 2 to remove the FINRA or other national securities exchange membership requirement for member organizations. ...more
Last month’s announcement by FINRA marks the completion of the consolidation of FINRA’s enforcement functions under the leadership of Susan Schroeder. One of the key outcomes of FINRA360, the new structure is designed to...more