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Reg BI and Form CRS
Communications with the Public
Private Placements
Variable Annuities
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Firm Made Misrepresentations to Customers and Violated Reg BI as well as FINRA’s Suitability and Supervision Rules
WASHINGTON—FINRA announced today that it has expelled broker-dealer SW Financial for multiple violations, including making misrepresentations to customers in its sales of private placement offerings of pre-initial public offering (pre-IPO) securities, churning customer accounts, and
Summary
An efficient capital raising process fosters business expansion, job creation and economic growth. FINRA members play an important role in facilitating capital formation for businesses of all sizes. FINRA promotes the capital raising process through appropriately tailored rules for its members that are designed to promote transparency and to establish important standards of conduct for
Reg BI and Form CRS
Communications with the Public
Private Placements
Variable Annuities
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The FINRA Board of Governors will consider the following rulemaking items at its February 2013 meeting.
Testimony by Vice Chairman Stephen Luparello Before the Subcommittee on Securities, Insurance, and Investment
Private Placements and Public Offerings Subject to a Contingency
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) has issued a warning about scams that purport to offer investors' access to pre-IPO shares of well-known social media companies, including Facebook.
Washington, D.C. - The Financial Industry Regulatory Authority (FINRA) announced today that it has filed a complaint against McGinn, Smith & Co., Inc., of Albany, NY, and its President and part owner, David L. Smith, charging them with securities fraud in the sale of tens of millions of dollars in unregistered securities.
Summary
FINRA’s CAB rules provide a simplified rulebook for broker-dealers that engage only in limited capital advisory, corporate restructuring and private placement activities. FINRA is requesting comment on proposed amendments to the CAB rules to make them more useful to CABs without reducing investor protection.
The proposed rule text is available in Attachment A.
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