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FINRA Pay-to-Play Rules Become Effective

August 20

FINRA “pay-to-play” Rules 2030 (Engaging in Distribution and Solicitation Activities with Government Entities) and 4580 (Books and Records Requirements for Government Distribution and Solicitation Activities) were established to regulate the activities of member firms that engage in distribution or solicitation activities for compensation with government entities on behalf of investment advisers.  These rules become effective August 20, 2017.

For more information, see Regulatory Notice 16-40.

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Date:
August 20
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