Insights

Aug
19
Comment letter regarding proposed changes to FINRA Rule 3110 and the issue of branch office inspections
FINRA, branch office inspections, Rule 3110

Please follow the link below to download our comment letter.


Comment letter regarding proposed changes to FINRA Rule 3110 and the issue of branch office inspections


Posted on 08/19/2022 at 07:58 AM
Jul
14
Comment letter regarding proposed rule change to amend Rules 1210 (Registration Requirements) and 1240 (Continuing Education Requirements)

Please follow the link below to download our comment letter.


Comment letter on Release No. 34-92183

Posted on 07/14/2021 at 08:24 AM
Feb
16
Comment Letter - Lessons from the Covid-19 Pandemic - Regulatory Notice 20-42
Regulatory Notice 20-42, Covid-19 Pandemic

Please follow the link below to download our comment letter.


Comment Letter - Lessons from the Covid-19 Pandemic - Regulatory Notice 20-42

Posted on 02/16/2021 at 07:36 AM
Jul
02
Comment Letter Regarding Regulatory Notice 20-04 Capital Acquisition Brokers

Please follow the link below to download our comment letter.


Regulatory Notice 20-04 Capital Acquisition Brokers

Posted on 07/02/2020 at 08:17 AM
Jul
01
Comment Letter Regarding Regulatory Notice 20-05 Continuing Education Program Transformation

Please follow the link below to download our comment letter.


Regulatory Notice 20-05 Continuing Education Program Transformation

Posted on 07/01/2020 at 01:00 PM
Jul
16
Comment Letter Regarding Regulatory Notice 17-14: Capital Formation

Please follow the link below to download our comment letter.


Regulatory Notice 17-14 Capital Formation

Posted on 07/16/2017 at 08:28 AM
Jul
04
Comment Letter Regarding Regulatory Notice 17-20: Retrospective Rule Review on the Effectiveness and Efficiency of FINRA’s Rules on Outside Business Activities and Private Securities Transactions

Please follow the link below to download our comment letter.


Regulatory Notice 17-20

Posted on 07/04/2017 at 08:26 AM
Apr
10
2nd Comment Letter re: Proposed Rule Change to Adopt the Capital Acquisition Broker Rules

Comment Ltr CABs 2 Final

Posted on 04/10/2016 at 08:25 AM
Jan
12
Comment Letter re: Proposed Rule Change to Adopt the Capital Acquisition Broker Rules

Comment Ltr CABs FINAL

Posted on 01/12/2016 at 07:29 AM
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