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Rule 15a-6 Financial Industry Regulatory Authority (FINRA) Investors

Proskauer Rose LLP

Broker-Dealer Beat - June 2015: Foreign Finders

Proskauer Rose LLP on

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

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