FINRA Unscripted

Facilitation, Formation and Feedback: FINRA’s Reg Notice on the Capital Raising Process


Listen Later

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

FINRA Rules

SEC EDGAR Database

Frequently Asked Questions About Private Placements

FINRA Board of Governors

Find us:  X YouTube /LinkedIn / Facebook /  E-mail

...more
View all episodesView all episodes
Download on the App Store

FINRA UnscriptedBy FINRA

  • 4.8
  • 4.8
  • 4.8
  • 4.8
  • 4.8

4.8

44 ratings


More shows like FINRA Unscripted

View all
Freakonomics Radio by Freakonomics Radio + Stitcher

Freakonomics Radio

32,252 Listeners

Economist Podcasts by The Economist

Economist Podcasts

4,163 Listeners

WSJ What’s News by The Wall Street Journal

WSJ What’s News

4,386 Listeners

Pod Save America by Pod Save America

Pod Save America

87,976 Listeners

The Daily by The New York Times

The Daily

113,095 Listeners

WSJ Minute Briefing by The Wall Street Journal

WSJ Minute Briefing

684 Listeners

Up First from NPR by NPR

Up First from NPR

56,827 Listeners

The Atlantic Interview by The Atlantic

The Atlantic Interview

27 Listeners

Wall Street Breakfast by Seeking Alpha

Wall Street Breakfast

1,042 Listeners

FT News Briefing by Financial Times

FT News Briefing

650 Listeners

Thoughts on the Market by Morgan Stanley

Thoughts on the Market

1,314 Listeners

Ask Lisa: The Psychology of Raising Tweens & Teens by Dr. Lisa Damour/Reena Ninan

Ask Lisa: The Psychology of Raising Tweens & Teens

85 Listeners

Call Me Back - with Dan Senor by Ark Media, Ilan Benatar

Call Me Back - with Dan Senor

3,246 Listeners

The Mel Robbins Podcast by Mel Robbins

The Mel Robbins Podcast

20,649 Listeners

Letters from an American by Heather Cox Richardson

Letters from an American

6,249 Listeners