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FINRA360 Comment Period Deadline

July 14, 2017

The ability of small and large businesses to raise capital efficiently is critical to job creation and economic growth. Broker-dealers play a vital role in helping businesses raise capital through the securities markets, and as a self-regulatory organization (SRO) for broker-dealers, FINRA has a variety of rules, operations and administrative processes that address their capital-raising activities. FINRA recently announced a new initiative—called FINRA360—to evaluate various aspects of its operations and programs to identify opportunities to more effectively further its mission. As part of this initiative, FINRA is requesting comment on the effectiveness and efficiency of our rules, operations and administrative processes governing broker-dealer activities related to the capital-raising process and their impact on capital formation. The comment period expires July 14, 2017, 2017. See Regulatory Notice 17-14.


July 14, 2017
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