Supporting Capital Formation: FINRA’s Evolving Regulatory Approach
Show notes
Capital is the lifeblood of the U.S. economy, funding everything from businesses of all sizes to scientific breakthroughs and infrastructure. With markets moving faster than ever and new products, players, and risks emerging daily, FINRA is modernizing its regulatory framework to keep pace, all while keeping investor protection at the center.
On this episode, Joe Sheirer, Senior Vice President, Corporate Financing, and Gaby Aguero, Vice President, Corporate Financing, explore recent amendments to FINRA rules, expanded IPO access, a recently approved proposal around projected returns in marketing materials, and the data FINRA is publishing to help the entire ecosystem operate more effectively.
Resources mentioned in this episode:
SEC-Approved Rule 2210 Change (Performance Projections)
Reg. Notice 26-04: FINRA Adopts Amendments to the Capital Acquisition Broker Rules
Rule 5110 (Underwriting Terms and Arrangements)
Rule 5123 (Private Placements of Securities)
Rule 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings)
Rule 5131 (New Issue Allocations and Distributions)
Rule 2310 (Direct Participation Programs)
Quarterly Regulatory Policy Agenda
FINRA Investor Education Foundation
FINRA Forward: A Year of Progress
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