FINRA Amends Rules 5110 and 5121 Related to Corporate Financing and Conflicts Of Interest

 On April 28, 2014 and on May 7, 2014, the SEC approved the Financial Industry Regulatory Authority’s (FINRA) amendments to Rule 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements) and 5121 (Public Offerings of Securities with Conflicts of Interest) in order to simplify and refine the scope of the rules.  FINRA is the self-regulatory body that… Continue reading “FINRA Amends Rules 5110 and 5121 Related to Corporate Financing and Conflicts Of Interest”