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Articles Posted in Rule 206(4)-5

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FINRA Pay-to-Play Rule Applies to Capital Acquisition Brokers

As we recently highlighted, the Securities and Exchange Commission took enforcement action against three registered investment advisers for violating the pay-to-play rule applicable to advisers under the Investment Advisers Act.  Broker-dealers should be aware that in 2017 the Financial Industry Regulatory Authority announced the approval of  modifications to two rules…

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