FINRA Proposed Amendment to Deferred Compensation Rule

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On June 6, FINRA proposed amendments to Rule 5110 that address current deferred compensation arrangements for financial industry advisory services in connection with public offerings, eliminate a filing requirement for exchange traded funds structured as statutory or grantor trusts, and new electronic filing requirements. Comments to the proposed amendments must be submitted by July 23.

Published In: Administrative Agency Updates, Finance & Banking Updates, Securities Updates

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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