We are looking forward to the new corporate action system, as we view this as a significant improvement over the current corporate action process
Tag Archive for FINRA
FINRA is the Financial Industry Regulatory Authority, which is a self regulatory organization which is the largest independent regulator for all securities firms operating within the United States. FINRA was formed by a merger of the National Association of Securities Dealers (NASD) regulatory division and the regulatory division of the New York Stock Exchange. FINRA is managed by a Board of Governors. FINRA regulates trading in equities, corporate bonds, securities futures, and options with authority over the activities of more than 5,100 brokerage firms.
Changes to FINRA Corporate Action Process
Beginning June 5th, 2023, FINRA will be replacing the current corporate action notification, review, and approval process with the new Corporate Actions Management platform. This new platform will be accessible through the FINRA Gateway. (https://gateway.finra.org)
Panel Discussion – New Trends in MicroCap Services
The panel was moderated by Seth Forman from Socialsuite. Also participating in the panel was Becky Popoff of B. Riley Securities, Rudy Singh of Electro Filings, and Joseph Oltmans from OTC Markets Group.