Finra rule 2030 Archives - State and Federal Communications

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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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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