The Financial Industry Regulatory Authority, Inc. (“FINRA”) has announced that it is filing with the Securities and Exchange Commission (“SEC” or “Commission”), a proposed rule change to amend Section 13 of … Continue reading Communications Submitted for Review by FINRA Face Increased Review Fees
The rules governing communications with the public have undergone significant changes with the approval of FINRA Rule 2210 (“Rule”) by the Securities and Exchange Commission (“SEC”). The Rule was submitted … Continue reading FINRA Rules Governing Communications With the Public Undergo Major Reorganization
As a result of the increased use of social media websites, such as blogs or social networking sites for business and personal communications, the Financial Industry Regulatory Authority (FINRA) issued … Continue reading Blogs, Social Media Networking Sites, and Supervision