InvestorsHub Logo
Followers 9
Posts 432
Boards Moderated 0
Alias Born 09/23/2020

Re: horst post# 11959

Tuesday, 10/20/2020 1:11:16 PM

Tuesday, October 20, 2020 1:11:16 PM

Post# of 14495
It’s such a complex web of laws and legal jargon. I did find this through Google. I didn’t get a chance to read it yet…

https://www.finra.org/rules-guidance/key-topics/mergers-acquisitions-business-transfers

This was probably a reportable event.

https://www.finra.org/rules-guidance/rulebooks/finra-rules/4530


(b) Each member shall promptly report to FINRA, but in any event not later than 30 calendar days, after the member has concluded or reasonably should have concluded that an associated person of the member or the member itself has violated any securities-, insurance-, commodities-, financial- or investment-related laws, rules, regulations or standards of conduct of any domestic or foreign regulatory body or self-regulatory organization.