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Searching Content indexed under Securities by Charles Gittleman ordered by Published Date Descending.
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FINRA Capital Acquisition Broker Proposal Approved
In August 2016, the SEC approved FINRA's proposal to permit firms conducting only enumerated corporate financing activities to operate under a more limited FINRA rule set.
United States
22 Sep 2016
2
FINRA Proposes Revisions To Gifts, Gratuities And Non-Cash Compensation Rules
On August 5, 2016, FINRA in Regulatory-Notice 16–291 proposed revisions to its regulation of broker-dealer gifts, entertainment and non-cash compensation and requested comments to the same.
United States
22 Aug 2016
3
SEC Requests Comment On Proposed FINRA Rules Regarding Payment To Unregistered Persons
The SEC solicited public comment on proposed FINRA rule changes that would substantively amend existing NASD and NYSE rules regarding payments to unregistered persons.
United States
20 Oct 2014
4
Trade Reporting: SEC Approves FINRA Rule Requiring Alternative Trading Systems To Report Activity Weekly
US-registered broker-dealers that operate Alternative Trading Systems will have to report volume information, by security, to FINRA weekly.
United States
21 Mar 2014
5
SEC Offers Relief To M&A Brokers
The Office of the Chief Counsel of the Division of Trading and Markets of the Securities and Exchange Commission recently issued an important "No-Action" Letter.
United States
27 Feb 2014
6
FINRA Proposes Amendment To Corporate Financing Rule And Conflict Of Interest Rule
FINRA Rule 5110, the corporate financing rule, regulates the terms and arrangements of securities underwriting conducted by FINRA member broker-dealers, which covers virtually all of the US securities industry.
United States
19 Feb 2014
7
FINRA Proposes Amendment To Corporate Financing Rule And Conflict Of Interest Rule
FINRA Rule 5110, the corporate financing rule, regulates the terms and arrangements of securities underwriting conducted by FINRA member broker-dealers, which covers virtually all of the US securities industry.
United States
19 Feb 2014
8
SEC Approves Amendment To FINRA IPO Allocation Rule 5131, Easing Compliance For Fund Investors
On November 27, 2013, the Securities and Exchange Commission approved a change to FINRA’s IPO allocation rule 5131.
United States
11 Dec 2013
9
SEC Adopts Changes To Broker-Dealer Net Capital And Financial Responsibility Rules
The US Securities and Exchange Commission recently adopted important changes to the financial responsibility rules for securities broker-dealers, including changes to the regulatory capital and regulatory reporting rules
United States
22 Aug 2013
10
Private Placement Update: FINRA Proposes Form Of Electronic Filing For Private Placements Under Rule 5123
The U.S. Financial Industry Regulatory Authority, Inc. recently filed a proposed rule change with the Securities and Exchange Commission concerning the obligations of members under FINRA Rule 5123 to provide notice when participating in certain private placements of securities.
United States
28 Jun 2013
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