Regulatory Notice 14-09

FINRA Requests Comment on a Proposed Rule Set for Limited Corporate Financing Brokers

 

Comment Period Expires: April 28, 2014

Executive Summary

FINRA is soliciting public comment on a proposed rule set for firms that meet the definition of “limited corporate financing broker” (LCFB). An LCFB is a firm that engages in a limited range of activities, essentially advising companies and private equity funds on capital raising and corporate restructuring. The rule set would not apply to firms that carry or maintain customer accounts, handle customers’ funds or securities, accept customers’ trading orders, or engage in proprietary trading or market-making.

 

The proposed rules are available as Attachment A at www.finra.org/notices/14-09.

 

Questions concerning this Notice should be directed to Joseph P. Savage, Vice President and Counsel, Regulatory Policy, at (240) 386-4534.

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The views, expressions, findings and opinions expressed in the comments on this Web page are solely those of the author(s) and FINRA accepts no responsibility for the content of the comments.


Comments By Date Received
Achates Capital Advisors LLC (PDF 52 KB) 3/5/2014
Colonnade Securities LLC (PDF 3,463 KB) 3/6/2014
Grand Avenue Capital Partners LLC (PDF 64 KB) 3/6/2014
Anderson LeNeave & Co. (PDF 64 KB) 3/12/2014
Growth Venture Partners (PDF 77 KB) 3/12/2014
Signal Hill Capital Group LLC (PDF 968 KB) 3/20/2014
Colorado Financial Corporation (PDF 264 KB) 3/24/2014
AIW, LLC (PDF 176 KB) 4/2/2014
Sutter Securities Incorporated (PDF 120 KB) 4/2/2014
LIATI Capital, LLC (PDF 44 KB) 4/18/2014
SF Advisors, LLC (PDF 157 KB) 4/23/2014
Bridge I Advisors, LLC (PDF 157 KB) 4/24/2014
Q Advisors (PDF 59 KB) 4/25/2014
Capital Markets Compliance (PDF 90 KB) 4/25/2014
Dole Capital, LLC (PDF 14 KB) 4/26/2014
McCracken Advisory Partners (PDF 34 KB) 4/28/2014
Reliance Worldwide Investments, LLC (PDF 927 KB) 4/28/2014
Fells Point Research LLC (PDF 40 KB) 4/28/2014
Fortress Group, Inc. (PDF 349 KB) 4/28/2014
JLT Capital Partners LLC (PDF 112 KB) 4/28/2014
Butler Capital Partners (PDF 384 KB) 4/28/2014
RW Smith & Associates, Inc. (PDF 304 KB) 4/28/2014
Eaton Partners, LLC (PDF 39 KB) 4/28/2014
North Bridge Capital (PDF 205 KB) 4/28/2014
Washington University School of Law (PDF 37 KB) 4/28/2014
Hamersley Partners, LLC (PDF 95 KB) 4/28/2014
HighBank Securities (PDF 351 KB) 4/28/2014
CSP Securities, LP (PDF 46 KB) 4/28/2014
Perkins Fund Marketing LLC (PDF 46 KB) 4/28/2014
Crowell & Moring LLP (PDF 46 KB) 4/28/2014
Compass Securities Corporation (PDF 46 KB) 4/28/2014
The LeGaye Law Firm, PC (PDF 60 KB) 4/28/2014
XT Capital Partners, LLC (PDF 38 KB) 4/28/2014
Brian X. Fitzgibbon (PDF 67 KB) 4/28/2014
ARK Global LLC (PDF 67 KB) 4/28/2014
Havener Capital Partners LLC (PDF 67 KB) 4/28/2014
Ernst & Young Corporate Finance (Canada) Inc. (PDF 245 KB) 4/28/2014
Arrow Investments, Inc. (PDF 31 KB) 4/28/2014
Tessera Capital Partners, LLC (PDF 68 KB) 4/28/2014
Goal Consulting LLC (PDF 68 KB) 4/28/2014
Hamersley Partners (PDF 95 KB) 4/28/2014
3PM Association (PDF 419 KB) 4/28/2014
Hamersley Partners, LLC (PDF 90 KB) 4/28/2014
Integrated Management Solutions USA LLC (PDF 158 KB) 4/28/2014
Monahan & Roth, LLC (PDF 86 KB) 4/28/2014
Stonehaven, LLC (PDF 61 KB) 4/28/2014
Ernst & Young Capital Advisors, LLC (PDF 42 KB) 4/28/2014
Frontier Solutions, LLC (PDF 102 KB) 4/28/2014
Genesis Marketing Group (PDF 276 KB) 4/28/2014
Harris Williams & Co. (PDF 154 KB) 4/29/2014
ABA Business Law Section (PDF 310 KB) 5/21/2014