As a self-regulatory organization, FINRA is uniquely positioned to gain meaningful insights from its members to help ensure FINRA’s regulatory programs are working for everyone. Tasked with maintaining that relationship … Continue reading FINRA Podcast – Member Relations & Education: Making Regulation Smarter
FINRA recently published Regulatory Notice 15-32 to provide guidance regarding the FINRA filing requirements and review procedures that apply to firms that participate in Regulation A+ offerings. Specifically, FINRA’s Corporate Financing Rules … Continue reading FINRA Provides Guidance on Regulation A+ Offerings
Westminster co-president Tim O’Halloran, who authored the study, found that 88 percent of European and 93 percent of North American financial professionals want the same or lower levels of regulation … Continue reading Westminster CSA Survey Finds 9 in 10 Traders Want Less Regulation of CSAs