Example: bankruptcy
Search results with tag "Notice 16"
Regulatory Notice 16-41 - finra.org
www.finra.org1. See Securities Exchange Act Release No. 78823 (September 13, 2016), 81 FR 64240 (September 16.
Regulatory Notice 16-37 - finra.org
www.finra.org00 qualifying, identifying, soliciting, or acting as a placement agent or finder (i) on behalf of an issuer in connection with a sale of newly-issued, unregistered securities to institutional investors or (ii) on behalf of an issuer or a control person in connection