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 […]

Continue Reading

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

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