Tag Archives: Regulatory Notice 14-09

FINRA Comment Letter – Regulatory Notice 14-09; Limited Corporate Financing Broker (LCFB)

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 (Proposed Rule Set”) for member firms that meet the definition of “limited corporate financing broker” (LCFB).  It is a positive sign that FINRA acknowledges that … Continue reading FINRA Comment Letter – Regulatory Notice 14-09; Limited Corporate Financing Broker (LCFB)