Securities Lawyer 101 l Brenda Hamilton

Securities Lawyer 101 l Brenda Hamilton

Monday, September 22, 2014

FINRA Uses Rule 6490 To Stop Wash, Rinse, Repeat Issuers

Going Public LawyerSecurities Law Blog In late 2009, the Financial Industry Regulatory Authority (“FINRA”) proposed changes to its Rule 6490.  Until that time, the Rule had provided merely that the agency review and process certain corporate actions taken by companies not listed on exchanges, companies known to most as OTC securities. The changes, which became effective in 2010, gave FINRA more clout:  it can now... Read MoreGoing Public Lawyer

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