Insights

Jun
11

Comment Letter on FINRA’s Rule Modernization Initiative (Regulatory Notice 25-04)

Please follow the link below to download our comment letter.


Comment Letter on FINRA’s Rule Modernization Initiative (Regulatory Notice 25-04)


Posted on 06/11/2025 at 07:49 AM
May
22

Comment letter on the proposed changes to SEC Rule 17a‐5

Please follow the link below to download our comment letter.


Comment letter on the proposed changes to SEC Rule 17a-5

Posted on 05/22/2023 at 05:55 AM
Aug
19

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

Rule 3110, branch office inspections, FINRA

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 06:08 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 07/14/2022 at 06:10 AM
Feb
16

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

Covid-19 Pandemic, Regulatory Notice 20-42

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 05:50 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 07:05 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 07:08 AM
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 08:25 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 08:27 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 09:04 AM