On October 13, 2023, the Securities and Exchange Commission adopted new Rule 13f-2 to require monthly reporting of short sale positions and activity data on new Form SHO by institutional investment managers. The new rules...more
Foreign Finders -
The longstanding rules on foreign finders – when a brokerage firm can pay transaction-based compensation to a non-registered foreign finder – will be incorporated into new FINRA Rule 2040, effective...more
6/25/2015
/ Adequate Assurances ,
Broker-Dealer ,
Disclosure ,
Disclosure Requirements ,
Financial Industry Regulatory Authority (FINRA) ,
Finders ,
Foreign Investment ,
Investors ,
NASD ,
New Regulations ,
Registration ,
Rule 15a-6 ,
Transaction-Based Compensation