Displaying 71 - 80 of 1654 Results
Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
Direct Purchases and Bank Loans as Alternatives to Public Financing in the Municipal Securities Market
(a) Applicability
No person associated with a member shall participate in any manner in a private securities transaction except in accordance with the requirements of this Rule.
(b) Written Notice
Prior to participating in any private securities transaction, an associated person shall provide written notice to the member with which he is associated describing in detail the proposed transaction
No person associated with a capital acquisition broker shall participate in any manner in a private securities transaction as defined in FINRA Rule 3280(e).
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.Selected Notice: 16-37.
Remarks from the CCOutreach BD National Seminar, as prepared for delivery.
FINRA’s examination, surveillance and risk monitoring programs play a central role in supporting FINRA’s mission of investor protection and market integrity.
Second Annual Report Is the Latest Compliance Resource for Firms Resulting from FINRA360
WASHINGTON – FINRA today published its 2018 Report on FINRA Examination Findings, its second annual report detailing observations from recent exams of firms. The report is the latest resource FINRA makes available to firms as a result of its ongoing organizational improvement initiative, FINRA360.
The 2018