Recent Posts in March, 2017

Best Efforts Contingency Offerings
Mar 16, 2017

Best Efforts Contingency Offerings In February 2016 the Financial Industry Regulatory Authority (FINRA) published Regulatory Notice 16-08 reminding ...

Posted By Wexler Burkhart Hirschberg & Unger, LLP
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FINRA Rule 2273 requires broker-dealers to send "educational communication" to former customers of registered representatives
Mar 16, 2017

FINRA Rule 2273 requires broker-dealers to send "educational communication" to former customers of registered representatives Effective November 11, ...

Posted By Wexler Burkhart Hirschberg & Unger, LLP
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