Deadline for receipt of FINAL Renewal Statement payments and reporting any Renewal Discrepancies.

FINRA is soliciting public comment on a set of proposed rules—referred to as the Funding Portal Rules-and related forms for SEC—registered funding portals that become FINRA members pursuant to the … Continue reading Funding Portal Rules Comments Request Deadline →

FINRA is soliciting public comment on a set of proposed rules—referred to as the Funding Portal Rules-and related forms for SEC—registered funding portals that become FINRA members pursuant to the … Continue reading FINRA Requests Comments: Funding Portal Rules →

13-43: SEC Approves a Limited Exception From FINRA Rule 5131(b) to Permit Firms to Rely Upon a Written Representation From Certain Unaffiliated Private Funds; Effective Date: February 3, 2014