Hello, this is Dave Lynn, and I’m a partner in Goodwin’s Capital Markets practice and chair of the firm’s Public Company Advisory practice. This is New Directions, a series of discussions about the impact and trajectory of...more
4/23/2025
/ Broker-Dealer ,
Capital Formation ,
Capital Markets ,
Corporate Governance ,
Deregulation ,
Enforcement Priorities ,
Financial Regulatory Reform ,
Investment Management ,
Publicly-Traded Companies ,
Regulatory Reform ,
Regulatory Requirements ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Trump Administration
In Regulatory Notice 23-09, FINRA provides an update on actions it currently has under way to promote capital formation and the capital-raising process. FINRA also requests comment regarding whether there are other changes to...more