Catherine Bowman, Esq., chair of ADISA’s Legislative & Regulatory Committee, sits down with Joe Sheirer of FINRA to discuss the progress of FINRA Forward. Their conversation covers recent developments in corporate financing and advertising regulation, changes to outside activities requirements, and the role of industry feedback in FINRA’s ongoing modernization efforts.

ADDITIONAL RESOURCES

Since this episode was recorded, FINRA has published additional information on several regulatory developments discussed in the conversation.

Regulatory Notice 26-19 – FINRA Amends its Corporate Financing Rules →
Regulatory Notice 26-20 – Outside Activities →
SR-FINRA-2026-004 – Amendments to Rule 2210, Communications with the Public →

The series is the copyrighted content of ADISA. You may access, review, and use this information, but may not republish it in any manner without the express written permission of ADISA.

Neither ADISA, nor any of its directors, officers, employees or agents, makes any representations or warranties, express or implied, or assumes any legal responsibility for the information provided in the presentations. The contents of the presentations are not the views or opinions of ADISA and its staff.

By using the series, you agree that you will not rely on the series and any reliance of the series is done so strictly at your own risk. ADISA is not liable for any damages of any nature incurred as a result of or in connection with the use of the information contained in the series.

The information in the series should also not be viewed as industry guidelines or standards.

The series does not constitute legal or other professional advice. It is recommended that you seek legal or other professional advice to determine whether any advice, actions or practices contained in the series are appropriate and legal in your jurisdiction.

In the latest episode of Focus on Alternatives, Greg Mauz, ADISA board member and senior managing director at Skyway Capital Markets, sits down with Jimmy Atkinson, founder and CEO of OpportunityZones.com and author of The Opportunity Zones Playbook, to discuss how the One Big Beautiful Bill Act is reshaping the future of opportunity zone investing.

With Opportunity Zones 2.0 becoming a permanent part of the tax code on Jan. 1, 2027, Atkinson explains the most significant changes and what financial professionals should be doing now to prepare.

The series is the copyrighted content of ADISA. You may access, review, and use this information, but may not republish it in any manner without the express written permission of ADISA.

Neither ADISA, nor any of its directors, officers, employees or agents, makes any representations or warranties, express or implied, or assumes any legal responsibility for the information provided in the presentations. The contents of the presentations are not the views or opinions of ADISA and its staff.

By using the series, you agree that you will not rely on the series and any reliance of the series is done so strictly at your own risk. ADISA is not liable for any damages of any nature incurred as a result of or in connection with the use of the information contained in the series.

The information in the series should also not be viewed as industry guidelines or standards.

The series does not constitute legal or other professional advice. It is recommended that you seek legal or other professional advice to determine whether any advice, actions or practices contained in the series are appropriate and legal in your jurisdiction.

In the latest episode of Focus on Alternatives, John Grady speaks with Gabriela Aguero, FINRA's vice president of corporate financing, about FINRA Forward, the regulator's initiative to modernize oversight, empower firm compliance and support resilience. Aguero also discusses how member firms can engage with FINRA and why industry events like ADISA's are critical to understanding the evolving alternatives marketplace.

The Alternative and Direct Investment Securities Association, Inc. (ADISA) has made this series available solely for informational purposes.

The series is the copyrighted content of ADISA. You may access, review, and use this information, but may not republish it in any manner without the express written permission of ADISA.

Neither ADISA, nor any of its directors, officers, employees or agents, makes any representations or warranties, express or implied, or assumes any legal responsibility for the information provided in the presentations. The contents of the presentations are not the views or opinions of ADISA and its staff.

By using the series, you agree that you will not rely on the series and any reliance of the series is done so strictly at your own risk. ADISA is not liable for any damages of any nature incurred as a result of or in connection with the use of the information contained in the series.

The information in the series should also not be viewed as industry guidelines or standards.

The series does not constitute legal or other professional advice. It is recommended that you seek legal or other professional advice to determine whether any advice, actions or practices contained in the series are appropriate and legal in your jurisdiction.