Finra Consolidates Rules for Communications with the Public: A Micro Cap & Penny Stock Investor Relations Firms Must Read

As an Investor Relations firm for micro cap, small cap, and penny stock companies; communicating your client company’s message is priority, if at times not the only thing we do.

Doing it properly entails close attention to Finra and S.E.C. rules and regulations.  Over time the agencies, law makers, and non-government regulators have compiled enough regulation to build a small city.  Now, they are consolidating the rules and regulations and making it easier for Institutional Investors, Retail Investors, Lawyers & Attorneys, Investor Relations and all participants in micro cap land.

The S.E.C’s and Finra’s heavy hand in regulating OTC markets and Penny Stock trading are not lifted, as they shouldn’t be, but understanding the rules in a plain-speak fashion are now available.  Podcasts for Rules and Regulations are up on the Finra website, 6 minutes a day, and in a few weeks you will have a pretty solid footing of what to do and more importantly, what not to do!

For the micro cap firm in particularly, the micro cap investor relations firms, Communications with the Public Consolidated Rule – Part 1 is a must listen.  Published on the website on February 12, 2013, this podcast, the first in a two-part series, discusses the communication categories and content standards in FINRA’s new consolidated Communications with the Public rule.

These rules and regulations should be read or listened to in conjunction with all other S.E.C. and Finra regulations.

Advertisements

About ONIT

Not Your Daddys' Holding Company
This entry was posted in Dealmakers and tagged , , , , . Bookmark the permalink.