Reg BI and Form CRS
Communications with the Public
Private Placements
Variable Annuities
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Reg BI and Form CRS
These regulations are unprecedented and ludicrous!! Never before have regulators proposed blocking investors from investments. The function of regulators has been to insure products and their promoters fully informed investors and disclosed disclosed risks. Even private placements focus more on full and complete disclosure, than restricting investment.
Please do not play "nanny."
A.1 Should CABs be permitted to engage in a broader range of M&A and private placement activities than currently specified in the CAB rules? Answer: Probably not.A.2 CABs may not act as an agent for secondary transactions involving unregistered securities, other than in connection with the change of control of a privately held company. Should CABs be permitted to act as placement
The Crypto Asset Developments topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
Third-party risk is the most clicked-on topic in FINRA's 2025 Regulatory Oversight Report. But what is third-party risk and why are people so interested in it? What can FINRA member firms do to mitigate that risk? And how can FINRA help? These questions will be answered on the latest episode of FINRA Unscripted, featuring a returning guest, FINRA's Executive Vice President of Member Supervision Greg Ruppert.
FINRA’s Corporate Financing Department protects investors and promotes vibrant and efficient capital markets by reviewing the capital-raising activities of FINRA member firms and assisting them in complying with FINRA rules and federal securities laws
The FINRA Board of Governors will consider the following rulemaking items at its February 2013 meeting.
Testimony by Vice Chairman Stephen Luparello Before the Subcommittee on Securities, Insurance, and Investment
Firm Made Misrepresentations to Customers and Violated Reg BI as well as FINRA’s Suitability and Supervision RulesWASHINGTON—FINRA announced today that it has expelled broker-dealer SW Financial for multiple violations, including making misrepresentations to customers in its sales of private placement offerings of pre-initial public offering (pre-IPO) securities, churning customer
Reg BI and Form CRS
Communications with the Public
Private Placements
Variable Annuities
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Fixed Income Mark-up Disclosure
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Communications and Sales
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Reg BI and Form CRS
