Financial Industry Regulatory Authority Archives - State and Federal Communications

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 […]

Continue Reading

November 17, 2014  •  

FINRA Proposed Pay-to-Play Rules

The Financial Industry Regulatory Authority (FINRA), a private, self-regulatory organization for U.S. securities firms, is proposing pay-to-play rules. According to FINRA Regulatory Notice 14-50, posted on November 14, it is requesting comment on the proposed rules, which would regulate the […]

Continue Reading

State and Federal Communications, Inc. provides research and consulting services for government relations professionals on lobbying laws, procurement lobbying laws, political contribution laws in the United States and Canada. Learn more by visiting

Sort by Month