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