The Securities and Exchange Commission (“SEC”) recently published for comments rules proposed by the Financial Industry Regulatory Authority, Inc. (“FINRA”) and the Municipal Securities Rulemaking Board (“MSRB”) to regulate...more
1/23/2016
/ Broker-Dealer ,
Compensation ,
Disgorgement ,
Financial Industry Regulatory Authority (FINRA) ,
Government Entities ,
Look-Back Measurement Period ,
MSRB ,
Municipal Advisers ,
Pay-To-Play ,
Political Contributions ,
Popular ,
Proposed Regulation ,
Securities and Exchange Commission (SEC)