An investment firm settled FINRA charges relating to the unregistered distributions of securities.

FINRA requested comment on potential regulatory measures to support capital-raising and ensure investor protection.

A broker-dealer settled FINRA charges for accepting market orders for newly issued shares prior to the commencement of trading those shares on the secondary market.

A broker-dealer settled FINRA charges for permitting "material changes to the terms of two related private placement offerings without terminating the offerings and returning funds to investors."

A broker-dealer settled FINRA charges for failing to timely file offering documents for multiple private offerings.