Shearman & Sterling LLP multinational law firm headquartered in New York City, United States.

balance scale

Oct 15, 2014

SEC Requests Comment on Proposed FINRA Rules Regarding Payment to Unregistered Persons

Subscribe

Jump to...

 
On September 25, 2014, the U.S. Securities and Exchange Commission (“SEC”) solicited public comment on proposed FINRA rule changes (the “proposal”) that would substantively amend existing NASD and NYSE rules regarding payments to unregistered persons.[1] Notably, the proposal would preserve important existing NASD and NYSE exemptions for payments to foreign finders.

View full memo, SEC Requests Comment on Proposed FINRA Rules Regarding Payment to Unregistered Persons

Authors and Contributors

Charles Gittleman

Of Counsel

Financial Institutions Advisory & Financial Regulatory

+1 212 848 7317

+1 212 848 7317

New York

Russell Sacks

Partner

Financial Institutions Advisory & Financial Regulatory

+1 212 848 7585

+1 212 848 7585

New York

Steven Blau

Associate

Financial Institutions Advisory & Financial Regulatory

+1 416 360 2154

+1 416 360 2154

Toronto

Jennifer D. Morton

Counsel

Financial Institutions Advisory & Financial Regulatory

+1 212 848 5187

+1 212 848 5187

New York