P. Sean Kelly

FINRA Proposes Filing Of Retail Communications In Private Placement Offerings

New York Updates Form D Filing Procedures

SEC Proposes Order To Exempt Certain Finders From Broker-Dealer Registration

FINRA Releases New Guidance On Retail Communications Concerning Private Placement Offerings

US States' Regulatory Responses To The Covid-19 Pandemic

OCIE And FINRA Provide Guidance Regarding Regulation Best Interest And Form CRS Examinations

FINRA Amends Corporate Financing Rule

FINRA Proposes Amendments To Suitability And Non-Cash Compensation Rules In Response To Regulation Best Interest

Preparing For Market Disruption: Circuit Breakers And Discretionary Trading Halts

Update Regarding FINRA Regulatory Notice 20-08: Pandemic-Related Business Continuity Planning, Guidance And Regulatory Relief