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Compensation & Benefits › Financial Industry Regulatory Authority (FINRA)

Troutman Pepper

Securities Industry Arbitrations and Litigation Update: FINRA Member Firms Don’t Forget to “Dot Your I’s and Cross Your T’s” in...

Troutman Pepper on

As any Wall Street litigator knows, in the securities industry, it is typical for brokerage firms to incentivize their employed financial advisers with significant upfront compensation at the beginning of a relationship or...more

Mayer Brown Free Writings + Perspectives

Proposed FINRA Corporate Financing Rule Change

Mayer Brown Free Writings + Perspectives on

On October 30, 2018, the Financial Industry Regulatory Authority, Inc. (“FINRA”) filed a proposed rule change to amend FINRA Rule 5110 (Corporate Financing Rule – Underwriting Terms and Arrangements) (the “Rule”), which is...more

Carlton Fields

FINRA to Overhaul Gifts, Non-Cash Compensation, and Business Entertainment Rules

Carlton Fields on

On August 5, FINRA proposed amendments to its gifts rule (Rule 3220) along with new rules to replace the current provisions governing noncash compensation (new Rule 3221) and business entertainment (new Rule 3222). These...more

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