SEC Approves FINRA Rule Change Strengthening Fraud Protection For Unlisted and High Risk Securities | Practical Law

SEC Approves FINRA Rule Change Strengthening Fraud Protection For Unlisted and High Risk Securities | Practical Law

An update on the SEC approval of FINRA's proposed rule change meant to strengthen safeguards against fraud and abuse prevention in transactions involving unlisted and higher risk securities.

SEC Approves FINRA Rule Change Strengthening Fraud Protection For Unlisted and High Risk Securities

by PLC Corporate & Securities
Published on 23 Mar 2009 • USA (National/Federal)
An update on the SEC approval of FINRA's proposed rule change meant to strengthen safeguards against fraud and abuse prevention in transactions involving unlisted and higher risk securities.