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Reg BI and Form CRS
Communications with the Public
Private Placements
Variable Annuities
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Reg BI and Form CRS
Communications with the Public
Private Placements
Variable Annuities
Previous:Funding Portals and Crowdfunding Offerings
Up:Communications and Sales
Next:Reg BI and Form CRS
Reg BI and Form CRS
Communications with the Public
Private Placements
Variable Annuities
Previous:Fixed Income Mark-up Disclosure
Up:Communications and Sales
Next:Reg BI and Form CRS
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
The Crypto Asset Developments topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
These regulations are unprecedented and ludicrous!! Never before have regulators proposed blocking investors from investments. The function of regulators has been to insure products and their promoters fully informed investors and disclosed disclosed risks. Even private placements focus more on full and complete disclosure, than restricting investment.
Please do not play "nanny."
SEC Approves Amendments to NASD Rule 2810 (Direct Participation Programs)
Read CEO Robert Cook’s email to firms describing outcomes from the June 2020 FINRA Board of Governors Meeting.
The Frequently Asked Questions below are taken directly from the Securities and Exchange Commission’s Regulation Best Interest and Form CRS FAQ pages. The below are FINRA’s best attempt to highlight the latest SEC FAQs, but additional FAQs may have been published that are not posted on this page. For the latest FAQs on Reg BI and Form CRS, please visit the SEC’s website.SEC Frequently Asked
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