Regulatory Notice 14-09

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

Comment Period Expires: April 28, 2014

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.

Related Documents: 

DateTitleFormat - Size
9/1/2015Attachment to Regulatory Notice 14-09PDF - 93.23 KB
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: 
DateCommenterFormat - Size
3/5/2014Achates Capital Advisors LLCPDF - 51.52 KB
3/6/2014Colonnade Securities LLCPDF - 3.38 MB
3/6/2014Grand Avenue Capital Partners LLCPDF - 63.56 KB
3/12/2014Anderson LeNeave & Co.PDF - 41.82 KB
3/12/2014Growth Venture PartnersPDF - 76.67 KB
3/24/2014Colorado Financial CorporationPDF - 263.87 KB
3/20/2014Signal Hill Capital Group LLCPDF - 967.51 KB
4/2/2014Sutter Securities IncorporatedPDF - 119.21 KB
4/18/2014LIATI Capital, LLCPDF - 43.08 KB
4/24/2014Bridge I Advisors, LLCPDF - 156.76 KB
4/23/2014SF Advisors, LLCPDF - 257.96 KB
4/25/2014Capital Markets CompliancePDF - 42.61 KB
4/25/2014Q AdvisorsPDF - 58.05 KB
4/26/2014Dole Capital, LLCPDF - 13.18 KB
4/28/2014ARK Global LLCPDF - 66.35 KB
4/28/2014Havener Capital Partners LLCPDF - 45.33 KB
4/28/2014Arrow Investments, Inc.PDF - 30.37 KB
4/28/2014Ernst & Young Corporate Finance (Canada) Inc.PDF - 244.18 KB
4/28/2014Goal Consulting LLCPDF - 67.7 KB
4/28/2014Tessera Capital Partners, LLCPDF - 76.68 KB
4/28/20143PM AssociationPDF - 418.32 KB
4/28/2014Hamersley PartnersPDF - 94.46 KB
4/28/2014Hamersley Partners, LLCPDF - 89.35 KB
4/28/2014Integrated Management Solutions USA LLCPDF - 157.52 KB
4/28/2014Monahan & Roth, LLCPDF - 85.26 KB
4/28/2014Stonehaven, LLCPDF - 60.24 KB
4/28/2014Frontier Solutions, LLCPDF - 101.95 KB
4/28/2014Ernst & Young Capital Advisors, LLCPDF - 41.16 KB
4/28/2014Genesis Marketing GroupPDF - 275.41 KB
4/28/2014Reliance Worldwide Investments, LLCPDF - 926.07 KB
4/28/2014McCracken Advisory PartnersPDF - 34 KB
4/28/2014Fells Point Research LLCPDF - 39.31 KB
4/28/2014Fortress Group, Inc.PDF - 348.23 KB
4/28/2014Butler Capital PartnersPDF - 383.38 KB
4/28/2014JLT Capital Partners LLCPDF - 111.68 KB
4/28/2014Eaton Partners, LLCPDF - 38.04 KB
4/28/2014RW Smith & Associates, Inc.PDF - 303.93 KB
4/28/2014North Bridge CapitalPDF - 204.72 KB
4/28/2014Hamersley Partners, LLCPDF - 94.27 KB
4/28/2014Washington University School of LawPDF - 36.5 KB
4/28/2014HighBank SecuritiesPDF - 350 KB
4/28/2014CSP Securities, LPPDF - 45.89 KB
4/28/2014Perkins Fund Marketing LLCPDF - 34.03 KB
4/28/2014Compass Securities CorporationPDF - 45.49 KB
4/28/2014Crowell & Moring LLPPDF - 31.25 KB
4/28/2014The LeGaye Law Firm, PCPDF - 59.47 KB
4/29/2014Harris Williams & Co.PDF - 153.21 KB
4/2/2014AIW, LLCPDF - 175.66 KB
4/28/2014Brian X. FitzgibbonPDF - 66.26 KB
4/28/2014XT Capital Partners, LLCPDF - 37.98 KB
5/21/2014ABA Business Law SectionPDF - 309.29 KB