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
FINRA has published updated and revised Sanction Guidelines that, among other things, highlight the SRO's position that penalties in disciplinary actions should be significant enough to achieve deterrence and not serve merely...more