Navagating FINRA Notification Requirements for Your Business
The Financial Industry Regulatory Authority (FINRA) is a self-regulatory organization responsible for regulating securities firms and the trading of securities in the United States. FINRA requires companies to file notices for a variety of transactions, including mergers and acquisitions, corporate financing, and executive changes.
At ALG, our team of securities lawyers has extensive experience assisting clients with FINRA notification requirements.
Our services include:
- FINRA Filing: Preparation and filing of FINRA notifications for a variety of transactions, including mergers and acquisitions, corporate financing, executive changes, stock splits, name change or ticker change, and redemptions.
- Regulatory Compliance: Advice on complying with FINRA regulations and guidelines.
- Corporate Governance: Assistance in establishing and maintaining effective corporate governance practices to ensure compliance with FINRA requirements.
At ALG we understand the complex and ever-changing regulatory landscape of FINRA notification requirements, and we are committed to helping our clients navigate these challenges. Our will guide you through the complicated and often lengthy process of notifying FINRA of corporate transactions and will work closely with you to understand your business and provide personalized and effective legal solutions to meet your specific needs.