Going Public Lawyer
Securities Lawyer 101 Blog The Financial Industry Regulatory Authority (“FINRA”) require that broker-dealers and market makers observe “high standards of commercial honor and just and equitable principles of trade.” FINRA rules also prohibit broker-dealers and market makers from “any manipulative, deceptive, or fraudulent actions.” Prohibited Conduct l Broker-Dealers l Market Makers As a warning to the public, FINRA has drawn up... Read More
Going Public Lawyer