Securities and Finance

Scarinci Hollenbeck’s Securities and Finance practice group regularly provides content on securities offerings, corporate governance and disclosure matters. Our content provides insight on public and private securities offerings and corporate transactions, including IPOs, secondary offerings, PIPE and convertible debt transactions, exchange offerings, tender offers, and mergers and acquisition transactions.

FINRA Rule 3110 Explained

Known as the “Supervision Rule,” FINRA Rule 3110 requires brokerage firms to establish, maintain, and enforce a system to supervise the activities of their associated persons. The rule stipulates that the system of supervision should be reasonably designed to achieve compliance with all applicable regulations established by the Financial Industry Regulatory Authority (FINRA) and the […]

Author: Angela A. Turiano

April 10, 2024