Tag Archives: Regulatory Notice 16-40

SEC Approves New FINRA Pay-To-Play Rules

August 9, 2017Compliance Notice, Legal AlertsPay to Play, Regulatory Notice 16-40Daniel LeGaye

The Securities and Exchange Commission (SEC) approved FINRA Rule 2030 (Engaging in Distribution and Solicitation Activities with Government Entities) and 4580 (Books and Records Requirements for Government Distribution and Solicitation Activities) … Continue reading SEC Approves New FINRA Pay-To-Play Rules →

FINRA Pay-to-Play Rules Become Effective

Pay to Play, Regulatory Notice 16-40

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 … Continue reading FINRA Pay-to-Play Rules Become Effective →