FINRA - Essentials for Deal Lawyers

PLI Webcast

01/07/2014 01:00 p.m. - 02:00 p.m. EST

Banking + Financial Services, Corporate Finance | Capital Markets, Financial Institutions + Financial Services, and Broker-Dealer Compliance + Regulation


Alexa Powers
(212) 336-4312

For presentation materials, click here.

This One-Hour Briefing 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 include:

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

PLI will offer CLE credit.

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