Securities Lawyer 101 l Brenda Hamilton

Securities Lawyer 101 l Brenda Hamilton

Friday, April 10, 2015

SEC Approves FINRA rule allowing transaction based compensation to unregistered persons


The Securities and Exchange Commission (the “SEC”) recently approved Rule 2040 proposed by the Financial Industry Regulatory Authority (“FINRA”) which applies to the payment of transaction based compensation to unregistered persons by  m...
https://www.securitieslawyer101.com/2015/sec-approves-finra-rule-allowing-transaction-based-compensation-to-unregistered-persons/

No comments:

Post a Comment