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Broker-Dealer › Non-Cash Compensation

Dechert LLP

FINRA Moves Forward with Proposed Amendments to its Suitability and Non-Cash Compensation Rules

Dechert LLP on

The Financial Industry Regulatory Authority, Inc. filed proposed amendments with the Securities and Exchange Commission on March 19, 2020, to FINRA Rule 2111 (Suitability Rule) and Capital Acquisition Broker (CAB) Rule 211...more

Morgan Lewis

FINRA’s Proposed Rules on Gifts, Gratuities, and Non-Cash Compensation

Morgan Lewis on

If adopted as proposed, the rules will largely expand supervisory resources needed to oversee compliance. After a two-year silence, the Financial Industry Regulatory Authority (FINRA) has proposed amendments to Rule 3220...more

Skadden, Arps, Slate, Meagher & Flom LLP

FINRA Seeks Comments on Proposed Gift Rule Changes

Skadden, Arps, Slate, Meagher & Flom LLP on

The Financial Industry Regulatory Authority (FINRA) has filed a regulatory notice seeking comment on proposed changes to its gift, business entertainment and noncash compensation rules for broker-dealers. Comments must be...more

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