FINRA Archives - State and Federal Communications

On June 18, a federal appellate court affirmed the legality of a Securities and Exchange Commission (SEC) pay-to-play rule. In New York Republican State Committee v. SEC, the U.S. Court of Appeals for the District of Columbia Circuit found the […]

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On December 6, capital acquisition brokers (CAB) will become covered by the same pay-to-play rules the Financial Industry Regulatory Authority (FINRA) imposes upon broker-dealers, placement agents, and covered associates. Earlier this year, on August 20, FINRA implemented Rule 2030, a […]

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The Financial Industry Regulatory Authority (FINRA) has filed a proposed rule change with the Securities and Exchange Commission (SEC) to expand its brand-new pay-to-play rules to cover capital acquisition brokers (CAB). FINRA Rule 2030, which took effect August 20, restricts […]

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Becky is back to deliver all the government and ethics news you can use in this weeks video digest!  

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On August 20, new pay-to-play regulations of the Financial Industry Regulatory Authority (FINRA) take effect. FINRA Rule 2030 restricts contributions made to an official of a government entity being provided investment advisory services or being engaged to provide investment advisory […]

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