Client Alert
FINRA Requests Comment on a Proposed Rule Set for Limited Corporate Financing Brokers
Client Alert
FINRA Requests Comment on a Proposed Rule Set for Limited Corporate Financing Brokers
03/05/2014
The Financial Industry Regulatory Authority, Inc. recently issued Regulatory Notice 14-09, which solicited comments on a proposed rule set for an entirely new category of broker-dealers called limited corporate financing brokers.