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Category: Rule 5110

Rule 5110: In particular, the regulatory notices propose changes to Rule 5110…

FINRA Proposes Amendments To The Corporate Financing Rules

On April 11, 2017, the Financial Industry Regulatory Authority (FINRA) released three regulatory notices requesting comment on rules related to corporate financing and capital formation. In particular, the regulatory notices propose changes to Rule 5110, which regulates underwriting compensation and prohibits unfair arrangements in connection with the public offerings of securities; Rules 2241 and 2242, which regulate… Continue reading “FINRA Proposes Amendments To The Corporate Financing Rules”