https://www.acisecure.com/wp-content/uploads/2014/10/notice-to-members.jpg 300 300 Jay Gettenberg /wp-content/uploads/2016/11/aci.finop-logo3-300x123.jpg Jay Gettenberg2016-02-09 14:52:152020-02-01 18:21:26FINRA Notice 16-08
FINRA Notice 16-08
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 to remind broker-dealers of their responsibility to have procedures reasonably designed to achieve compliance with these rules.
See the attached pdf, for the full text: