Topic: FINRA

FINRA Extends Information Request Period for Digital Assets (Virtual Coins and Tokens)‎

On July 18, 2019, the Financial Industry Regulatory Authority (“FINRA”) issued Regulatory Notice 19-24[1], which extended the deadline of FINRA’s previously issued notice that asked members to keep their Regulatory Coordinator informed if the firm, or its associates or affiliates, engaged, or intended to engage, in activities related to digital assets.

Read More

Joint SEC/FINRA Staff Statement Offers Guidance Relating to Broker-Dealer Custody of ‎Digital Asset Securities

On July 8, 2019, the staffs of the Division of Trading and Markets, U.S. Securities and Exchange ‎Commission (“SEC”) and the Office of General Counsel, Financial Industry Regulatory ‎Authority (“FINRA”) released a joint statement ‎ (the “Joint Statement”) providing guidance ‎with respect to applicable regulations relating to broker-dealer custody of digital asset securities.‎

Read More

Locke Lord QuickStudy: Clarifying and Simplifying the Corporate Financing Rule: FINRA Seeks Comment on Proposed Amendments to Rule 5110

On April 12, 2017, the Financial Regulatory Industry Authority (“FINRA”) released a regulatory notice requesting comments on proposed amendments to FINRA Rule 5110 (commonly referred to as the Corporate Financing Rule, the “Rule”) in order to simplify, clarify and modernize the Rule.

Read More



Email the Editors

Click here to Email the Editors


Locke Lord LLP

For the latest information about our Firm visit