The amendments modernize, restructure, and streamline Rule 5110.
On March 20, 2020, the Financial Industry Regulatory Authority, Inc. (FINRA) published Regulatory Notice 20-10 (RN 20-10), which provides additional guidance...more
The amendments simplify and refine the scope of FINRA’s corporate financing and conflict of interest rules in several important respects.
The Securities and Exchange Commission (SEC) recently approved two proposals...more
An Updated Look at the World of Offers -
It all seems simple enough. The concept of “offer” is broad under the securities laws, so companies and underwriters need to be careful about any publicity in connection with a...more
3/7/2014
/ Compliance ,
Corporate Counsel ,
Corporate Governance ,
Dodd-Frank ,
Initial Public Offering (IPO) ,
JOBS Act ,
Offers ,
Press Releases ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Underwriting