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Broker-Dealer › Foreign Affiliates

Burr & Forman

FINRA Rule 2040 Goes Into Effect

Burr & Forman on

On August 24, 2015, FINRA Rule 2040 concerning payments to unregistered persons went into effect. The rule, approved by the SEC in January 2015, is aligned with § 15(a) of the Securities Exchange Act of 1934. Generally, FINRA...more

Proskauer Rose LLP

Broker-Dealer Beat - October 2014: Supervising Registered Employees of Foreign Affiliates

Proskauer Rose LLP on

Supervising Registered Employees of Foreign Affiliates - NASD Rules 1021(a) and 1031(a) permit a FINRA member to register or maintain the registration as principal or representative of an individual who is engaged in...more

Morrison & Foerster LLP

The Volcker Rule Prohibition on Proprietary Trading: Considerations for Broker-Dealer Affiliates of Foreign Banking Organizations

Morrison & Foerster LLP on

The Volcker Rule imposes significant restrictions on “proprietary trading” by banking organizations and their affiliates. The purpose of this Memorandum is to discuss how these restrictions may impact broker-dealer affiliates...more

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