FINRA Offerings & Research

02/06/2014 08:00 a.m. - 10:00 a.m.

Banking + Financial Services, Capital Markets, Restructuring Financial Institutions, Financial Institutions + Financial Services, and Broker-Dealer Compliance + Regulation

Morrison & Foerster LLP
1290 Avenue of the Americas
Floor 39
New York, NY 10104

Anna T. Pinedo

Anna T. Pinedo

Seminar

This seminar will provide a review of the FINRA rules applicable to public offerings, including FINRA’s new review process. We will discuss the compensation review process, conflicts of interest and QIUs, direct participation programs, and Regulation M notice requirements.

Topics of discussion will include:

  • Addressing FINRA’s renewed focus on private placements, including Rule 5123 and various enforcement actions;
  • Providing an overview of the rules relating to research on emerging growth companies; and
  • Discussing FINRA’s proposed debt research rules.

Speakers:

  • Nilene Evans
  • Anna Pinedo

California and New York CLE credit is pending.

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