News & Analysis as of

Securities and Exchange Commission (SEC) › E-Signatures › Financial Industry Regulatory Authority (FINRA)

Mayer Brown Free Writings + Perspectives

SEC Grants No-Action Relief from Rule 17a-4 for Reliance on Central Registration Depository System to Maintain Electronically...

Mayer Brown Free Writings + Perspectives on

On September 5, 2025, the Staff of the Division of Trading and Markets of the U.S. Securities and Exchange Commission (“SEC”) granted no-action relief that allows members of the Financial Industry Regulatory Authority, Inc....more

Katten Muchin Rosenman LLP

Corporate & Financial Weekly Digest, Featuring Articles on Potential Updates to FINRA Rules on Corporate Bond Block Trade...

Katten Muchin Rosenman LLP on

BROKER-DEALER - FINRA Requests Comment on Proposed Pilot Program to Study Changes to Corporate Bond Block Trade Dissemination - On April 12, the Financial Industry Regulatory Authority (FINRA) published a regulatory...more

Stinson - Corporate & Securities Law Blog

NASAA Requests Comments on Proposed Policy Allowing Use of Electronic Offering Documents and Electronic Signatures

Stinson - Corporate & Securities Law Blog on

On May 2, 2016 the North American Securities Administrators Association (NASAA) issued a release requesting public comments on a proposed Statement of Policy (SOP) that would allow issuers and its selling agents to use...more

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