Tag Archives: Comment Letter

MSRB Seeks Comments on the Use of Social Media

The Municipal Securities Rulemaking Board (“MSRB”) is seeking comments from regulated entities and other stakeholders about draft answers to frequently asked questions (“FAQs”) addressing the use of social media in advertising by municipal advisors and municipal securities dealers and their associated persons.  As the effective date of new MSRB Rule G-40 on advertising by municipal … Continue reading MSRB Seeks Comments on the Use of Social Media

NYSE Proposes to Drop FINRA Membership Requirement

The Securities and NYSE Commission (SEC) has published notice to solicit comments on a proposed rule change from the New York Stock NYSE LLC (NYSE) to amend Rule 2 to remove a requirement that a registered broker-dealer be a member of the Financial Industry Regulatory Authority, Inc. (FINRA) or another national securities exchange. The NYSE … Continue reading NYSE Proposes to Drop FINRA Membership Requirement

SEC Comment Letter – JOBS Act – Crowdfunding

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 creation and economic growth, relying in part on provisions relating to securities offered or sold through “crowdfunding.” As a primary focus of The LeGaye Law … Continue reading SEC Comment Letter – JOBS Act – Crowdfunding