Facilitation, Formation and Feedback: FINRA’s Reg Notice on the Capital Raising Process
An efficient capital raising process fosters business expansion, job creation and economic growth. Currently, FINRA’s soliciting comments on the impact FINRA's Rules have on the capital formation process, as it looks for ways to increase efficiency and reduce unnecessary burdens. On this episode, we'll dig more into this process and FINRA's recent Request for Comment.
Information Notice 7/26/23
Summary
FINRA is providing information in this Notice to remind registered persons and firms of the new requirements regarding the Continuing Education (CE) Regulatory Element, including:
2022076383701 Logan J. LaPace CRD 7532793 AWC gg (2023-1692749991609).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2022076383701
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Logan J. LaPace (Respondent)
Former Associated Person
CRD No. 7532793
Pursuant to FINRA Rule 9216, Respondent Logan J. LaPace submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.
19-01097(3).pdf
Order to Confirm