News & Analysis as of

Rule 15a-6 Disclosure Requirements

Structured Thoughts: News for the financial services community, Volume 7, Issue 2

Is There a Standard Form of Rule 144A Representation Letter? - My file of Rule 144A representation letters has been growing fatter, and Iā€˜m not sure why. I would have hoped that by now there would be just one great...more

Broker-Dealer Beat - June 2015: Foreign Finders

by Proskauer Rose LLP on

Foreign Finders - The longstanding rules on foreign finders ā€“ when a brokerage firm can pay transaction-based compensation to a non-registered foreign finder ā€“ will be incorporated into new FINRA Rule 2040, effective...more

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