Financial Accounting Resources & News
Our expert team keeps up on the latest filings from the SEC, FINRA, and the IRS to ensure our clients can efficiently minimize costs and risks while simultaneously maximizing reporting accuracy.
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Jay Gettenberg
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Jay Gettenberg2023-05-26 14:25:082023-12-19 08:27:16What is a FinOp?
FINRA Notice 16-08
/in Informational/by Jay GettenbergSummary Effective February, 2016. FINRA’s review of securities offering documents has revealed instances in which broker-dealers have not complied with the contingency offering requirements of Rules 10b-9 and 15c2-4 under the Securities Exchange Act of 1934 (SEA). FINRA is publishing this Notice to provide guidance regarding the requirements of SEA Rules 10b-9 and 15c2-4 and […]
FINRA Notice 16-07
/in Regulatory Updates/by Jay GettenbergSummary January, 2016 The SEC approved new FINRA Rule 4518 as part of FINRA’s proposal to establish the new Funding Portal Rules and related forms.1 This Notice provides further guidance on new Rule 4518, which applies to registered broker-dealer members of FINRA that contemplate acting as intermediaries in transactions involving the offer or sale of […]
FINRA Notice 16-05
/in Informational/by Jay GettenbergSummary January, 2016 This Notice provides firms with information regarding a no-action letter1 issued by the staff of the Division of Trading and Markets of the Securities and Exchange Commission (the SEC staff) regarding electronic filing of the annual and supplemental reports required under SEA Rules 17a-5 and 17a-12. See the attached pdf, for the […]
FINRA Notice 16-04
/in Regulatory Updates/by Jay GettenbergSummary Effective December 20, 2015 The SEC recently approved FINRA’s proposal to merge its dispute resolution subsidiary, FINRA Dispute Resolution, Inc. into and with its regulatory subsidiary, FINRA Regulation, Inc.1 FINRA continues to operate its dispute resolution program, now as a separate department within FINRA Regulation under the name of the Office of Dispute Resolution. […]