FINRA Proposes Lighter Regulatory Regime For Limited Corporate Financing Brokers

The Financial Industry Regulatory Authority (FINRA) recently issued a Regulatory Notice requesting comment on a Proposed Rule Set for Limited  Corporate Financing Brokers (LCFBs). The comment period expires on April 28, 2014. Please click here for Orrick’s Alert which provides an overview and analysis of the Rule Set and its merits.