Tag Archives: Regulatory Notice 09-69

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