Firm Memoranda

FINRA Amends Certain Provisions of the Corporate Financing and Conflict of Interest Rules

Date: 06/11/14

The Financial Industry Regulatory Authority, Inc. (“FINRA”) has received Securities and Exchange Commission (“SEC”) approval for several amendments to the FINRA corporate financing and conflict of interest rules. A condensed summary of the SEC releases approving the amendments follows.

CGR memo - FINRA Amends Certain Provisions of the Corporate Financing and Conflict of Interest Rules.pdf (pdf | 142.90 KB )