Topic
Guides
4 articles
Guide
Broker-Dealer Registration Explained: Who Needs It and How
A plain-English guide to broker-dealer registration with the SEC, FINRA and the states: who must register, the steps, ongoing duties and common exemptions.
Guide
How FINRA Rules Are Made: From Proposal to SEC Approval
A guide to how a FINRA rule change moves from staff concept to Regulatory Notice, SEC filing, public comment and approval, and where to track each step.
Guide
What FINRA Does: A Plain-English Guide to the Regulator
What FINRA does as the self-regulatory organization for U.S. broker-dealers: rulemaking, examinations, enforcement, arbitration, and its link to the SEC.
Guide
FINRA Rules for Capital-Raising Intermediaries: A Guide
How FINRA rules apply to broker-dealers and funding portals that help issuers raise capital, from private placements to underwriting terms and Reg BI.