Securities Lawyer 101 l Brenda Hamilton

Securities Lawyer 101 l Brenda Hamilton

Friday, September 18, 2015

What is FINRA Rule 6490? Going Public Lawyers


Though FINRA’s principal mandate is to regulate broker-dealers, historically it has always exercised some oversight of the over-the-counter markets.  Part of that oversight involves processing corporate action requests from issuers of equity an...
https://www.securitieslawyer101.com/2015/finra-rule-6490-lawyers/

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