FINRA Seeks Comments on Proposed Gift Rule Changes
By EsqSocial Corporation 30/08/16
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 submitted by September 23,...
By: Skadden, Arps, Slate, Meagher & Flom LLP