Header graphic for print
MoFo Jumpstarter For jumpstarts, upstarts and start-ups

Category Archives: Communications

Subscribe to Communications RSS Feed

Easier to Communicate? Remember FINRA’s Communications Rules

Posted in Communications

FINRA’s sweeping overhaul of its rules governing communications with the public become effective today.  The new rules and guidance, which the SEC approved last year, are likely to keep compliance officers busy for quite some time. The revisions simplify some rules, but also create new compliance challenges.  Most significant, FINRA reduced the number of categories… Continue Reading