Tag Archives: FINRA Rule2040

FINRA Comment Letter – Rule 2040 – Payments to Non-Registered Persons

FINRA¬†Comment Letter – Rule 2040 – Payments to Non-Registered Persons On December 2,2009, the Financial Industry Regulatory Authority (FINRA) published Regulatory Notice 09-69 (Regulatory Notice) seeking comments on its proposal to amend its rules governing payments to unregistered persons through a proposed FINRA Rule 2040 (Proposed Rule).¬† As stated by FINRA in the Regulatory Notice, … Continue reading FINRA Comment Letter – Rule 2040 – Payments to Non-Registered Persons