FINRA’s responded to industry feedback on the inspection process for branch offices. Based on Rule 3110 (the Supervision Rule), each firm to currently required to establish and maintain a system … Continue reading FINRA Requests Comments on Proposal for Remote Inspections of Branch Offices
FINRA Comment Letter – Regulatory Notice 14-09; Limited Corporate Financing Broker (LCFB) The Financial Industry Regulatory Authority (FINRA) published Regulatory Notice 14-08 (Regulatory Notice) seeking comments on a proposed rule set … Continue reading FINRA Comment Letter – Regulatory Notice 14-09; Limited Corporate Financing Broker (LCFB)
SEC Comment Letter – JOBS Act – Crowdfunding Set forth below are our comments related to Title III of the JOBS Act. The JOBS Act focused on increasing American job … Continue reading SEC Comment Letter – JOBS Act – Crowdfunding
FINRA Comment Letter – Regulatory Notice 12-34 Crowdfunding The Financial Industry Regulatory Authority (FINRA) published Regulatory Notice 12-34 (Regulatory Notice) seeking comments on proposed regulation of Crowdfunding Activities by FINRA member … Continue reading FINRA Comment Letter – Regulatory Notice 12-34 Crowdfunding
FINRA Comment Letter – Rule 5122 Member Participation in Private Placements On January 11, 2011, the Financial Industry Regulatory Authority (FINRA) published Regulatory Notice 11-04 (Regulatory Notice) seeking comments on its … Continue reading FINRA Comment Letter – Rule 5122 Member Participation in Private Placements
FINRA Comment Letter – Rule 2040 – Payments to Non-Registered Persons On December 2,2009, the Financial Industry Regulatory Authority (FINRA) published Regulatory Notice 09-69 (Regulatory Notice) seeking comments on its proposal … Continue reading FINRA Comment Letter – Rule 2040 – Payments to Non-Registered Persons