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Best Efforts Contingency Offerings
Best Efforts Contingency Offerings In February 2016 the Financial Industry Regulatory Authority (FINRA) published Regulatory Notice 16-08 reminding ...
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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
FINRA Rule 2273 requires broker-dealers to send "educational communication" to former customers of registered representatives Effective November 11, ...
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Wexler Burkhart Hirschberg & Unger, LLP
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Notice to Clients: BrokerCheck HyperLink Requirement
Notice to Clients: BrokerCheck HyperLink Requirement
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Wexler Burkhart Hirschberg & Unger, LLP
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Notice to Clients: Expungement Guidance - 3 Options for a Clean CRD
Most brokers will encounter customer complaints at one time or another during their career. Many of these complaints cast too wide a net, frequently ...
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Wexler Burkhart Hirschberg & Unger, LLP
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Notice to Clients: Mandatory Background Checks & FINRA Rule 3110(e)
Effective July 1, 2015, FINRA Rule 3110(e) will require each member firm to investigate through background checks applicants character and business ...
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Wexler Burkhart Hirschberg & Unger, LLP
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SEC Changes Private Placement Rules
The SEC has adopted amendments to Rule 506 under the Securities Act of 1933 that permit general solicitation and general advertising in securities ...
Posted By
Ian J. Frimet, Esq.
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Are There Limits to FINRA Rule 2010?
Many Financial Industry Regulatory Authority (FINRA) disciplinary cases include charges of violation of FINRA Rule 2010, the general ethical rule, ...
Posted By
Wexler Burkhart Hirschberg & Unger, LLP
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