As a self-regulatory organization, FINRA is uniquely positioned to gain meaningful insights from its members to help ensure FINRA’s regulatory programs are working for everyone. Tasked with maintaining that relationship and keeping an open dialogue is FINRA’s Office of Member Relations and Education. The Member Relations and Education team routinely engages with firms through conferences, … Continue reading FINRA Podcast – Member Relations & Education: Making Regulation Smarter →
FINRA recently published Regulatory Notice 15-32 to provide guidance regarding the FINRA filing requirements and review procedures that apply to firms that participate in Regulation A+ offerings. Specifically, FINRA’s Corporate Financing Rules require firms that participate in Regulation A+ offerings to file with FINRA information specified in the rules. FINRA’s Communications with the Public Rule and its … Continue reading FINRA Provides Guidance on Regulation A+ Offerings →
Westminster co-president Tim O’Halloran, who authored the study, found that 88 percent of European and 93 percent of North American financial professionals want the same or lower levels of regulation for commission sharing arrangements. to read the entire article, click here.
