ARTICLE · 24 APRIL 2017

FINRA Proposes Changes To Rules Affecting Offerings

Morrison Foerster

Contributor

Morrison Foerster

With approximately 1,000 lawyers in 19 offices, Morrison & Foerster is a preeminent global law firm...

View firm profile

Explore more from Morrison Foerster

Today, FINRA issued three Regulatory Notices requesting comments on proposed changes to various rules relating to financing transactions.

United StatesCorporate/Commercial Law

Anna Pinedo

Author LinkedIn connections

Today, FINRA issued three Regulatory Notices requesting comments on proposed changes to various rules relating to financing transactions.

Regulatory Notice 17-14 requests comment on all of FINRA's existing rules, operations and administrative processes that address the capital-raising activities of its member firms, including recent additions regarding capital acquisition brokers and funding portals.

Regulatory Notice 17-15 requests comment on proposed amendments to modernize, simplify and clarify FINRA Rule 5110, the Corporate Financing Rule, which affects all public offerings.

Regulatory Notice 17-16 clarifies the application of FINRA's research rules to desk commentary by sales and trading and principal trading personnel and solicits comments on a proposal to create a limited safe harbor for eligible desk commentary that may rise to the level of a research report.

We operate a free-to-view policy, asking only that you register in order to read all of our content. Please login or register to view the rest of this article.

FINRA Proposes Changes To Rules Affecting Offerings

Related Articles

SEC Staff Grants Broad Relief For Board-Aligned Retail Shareholder Voting Programs

Client Insight: AI Tools And Confidentiality: Practical Guidance For Companies For Protection Under Attorney-Client Privilege And Work-Product Doctrine

SEC Files Subpoena Enforcement Action Against ISS

Cross-Border SEC Spotlight: Key Updates For Non-U.S. Companies – Q3 2026

SEC Staff Issues No-Action Letter Addressing Form S-3 Eligibility For Voluntary Filers

Read more about

Related Comparative Guides

Private Client

Private Equity

Merger Control

Mergers & Acquisitions

See more popular content from

The Expanding Scope Of CFIUS's Jurisdiction And Mandatory Reporting

Healthcare Trends & Transactions Q2 2026

SEC Moves To Open Private Markets To Retail Investors

CLIENT ALERT: 2026 Mid-Year Update On SEC And CFTC Enforcement

Predictions For 2025: The Evolving Landscape Of Debt Financing And M&A Activity

WilmerHale Careers: Diversity (Video)

How to Run a Nonprofit Board that is Far from Boring

LLC Operating Agreements: The Complete Guide For Business Owners

Delaware, Texas Step Up Unclaimed Property Enforcement

Law Firms: The Next Frontier For Private Equity In Professional Services?

Top 10 International Anti-Corruption Developments For August 2023

The BIOSECURE Act Becomes Law

MIIT Circulates Draft Industrial And Information Technology Data Security Rules

Bribery & Corruption Laws And Regulations

Japanese Government And Industry Members Signal Commitment To Growth Of Web3 Businesses

Japan Is Tightening Regulations Applicable To Foreign Direct Investment In The Information And Communications Technology Sector

New Law Ushers In Sweeping Changes To Bankruptcy Regime In China

PRC Court Recognizes A U.S. Court Judgment For First Time Based On Principle Of Reciprocity

European Commission Decision On Gun Jumping Gives Guidance On Contractual Clauses In EU Mergers

A New Era For Japanese M&A? Fresh Guidelines From Key Japanese Government Agency Seek To Stimulate Corporate Value Creation Through Development Of Fair M&A Market