FINRA Attorney - Securities & Forensic Lawyers

SEC Amends Financial Responsibility Rules for Broker-Dealers

On July 31, 2013, the Securities and Exchange Commission (“SEC”) announced the adoption of amendments to the net capital, customer protection, books and records, and notification rules for broker-dealers. The amendments to the broker-dealer financial responsibility rules are designed to… Read More

Does Rule 6490 Impact Going Public Transactions?

Securities Lawyer 101 Blog Smooth Sailing for Companies Avoiding Reverse Mergers in their Going Public Transactions FINRA Rule 6490, has evolved since it was enacted over two years ago. For some time, FINRA has required that issuers provide expansive disclosures… Read More