{"id":574,"date":"2017-03-04T16:53:06","date_gmt":"2017-03-04T16:53:06","guid":{"rendered":"http:\/\/localhost\/?p=574"},"modified":"2017-03-04T16:53:06","modified_gmt":"2017-03-04T16:53:06","slug":"finra-rule-5110-should-it-be-modernized","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2017\/03\/04\/finra-rule-5110-should-it-be-modernized\/","title":{"rendered":"FINRA Rule 5110 &#8212; Should it be Modernized?"},"content":{"rendered":"<p>On March 8, 2017, <a href=\"http:\/\/www.finra.org\/industry\/march-board-governors-meeting-rulemaking-items-consideration\">FINRA\u2019s Board of Governors will meet<\/a> to discuss certain proposed rulemaking considerations, including proposals to streamline and modernize FINRA Rule 5110 (Corporate Financing Rule \u2013 Underwriting Terms and Arrangements).\u00a0 FINRA Rule 5110 governs member firm participation in the public offering of securities, and imposes certain filing requirements and related compensation restrictions for members participating in a public securities offering.\u00a0 Upon approval from FINRA\u2019s Board of Governors, any formal proposal will still need to be published for comment to FINRA member firms (typically through a \u201cRegulatory Notice\u201d filing) and also published for review and approval by the SEC.<\/p>\n","protected":false},"excerpt":{"rendered":"<p>On March 8, 2017, FINRA\u2019s Board of Governors will meet to discuss certain proposed rulemaking considerations, including proposals to streamline and modernize FINRA Rule 5110 (Corporate Financing Rule \u2013 Underwriting Terms and Arrangements).\u00a0 FINRA Rule 5110 governs member firm participation in the public offering of securities, and imposes certain filing requirements and related compensation restrictions &hellip; <a href=\"https:\/\/bdia.pli.edu\/index.php\/2017\/03\/04\/finra-rule-5110-should-it-be-modernized\/\" class=\"more-link\">Continue reading <span class=\"screen-reader-text\">FINRA Rule 5110 &#8212; Should it be Modernized?<\/span> <span class=\"meta-nav\">&rarr;<\/span><\/a><\/p>\n","protected":false},"author":8,"featured_media":0,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_exactmetrics_skip_tracking":false,"_exactmetrics_sitenote_active":false,"_exactmetrics_sitenote_note":"","_exactmetrics_sitenote_category":0,"footnotes":""},"categories":[21],"tags":[],"class_list":["post-574","post","type-post","status-publish","format-standard","hentry","category-regulatory"],"aioseo_notices":[],"post_mailing_queue_ids":[],"_links":{"self":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/574","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/users\/8"}],"replies":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/comments?post=574"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/574\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=574"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=574"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=574"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}