Officials at the Financial Industry Regulatory Authority (FINRA) released a “Progress Report on FINRA360” last month and the regulator is making the case that it has started to reinvigorate itself, particularly in the areas of enforcement and qualification exams. As you may recall, FINRA360 is an effort to see if “FINRA is operating as the… Read More >>
FINRA Wants to Rewrite Capital Formation Rules & Requests Comment
The Financial Industry Regulatory Authority (FINRA), as part of a review of its own operations and programs — the FINRA360 initiative — is calling for comment on three of its proposed rules related to the capital formation process. One of those proposed rules focuses on the capital-formation processes of its member firms, “with the others… Read More >>
