Facilitation, Formation and Feedback: FINRA’s Reg Notice on the Capital Raising Process
An efficient capital raising process fosters business expansion, job creation and economic growth. And FINRA's members play an important role in this vital piece of our capital markets. Currently, FINRA's soliciting comments on the impact FINRA's Rules have on the capital formation process, as it looks for ways to increase efficiency and reduce unnecessary burdens. On this episode, we'll dig more into this process and FINRA's recent Request for Comment with Joe Price, Senior Vice President of Corporate Financing and Advertising Regulation, and discuss the recent Regulatory Notice 23-09 on FINRA's Rules impacting capital formation.
Resources mentioned in this episode:
Reg Notice 23-09: Capital Formation Request for Comment
Reg Notice 17-14: Request for Comment on FINRA Rules Impacting Capital Formation
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