Search
Searching Content indexed under Compliance by Charles Gittleman ordered by Published Date Descending.
Links to Result pages
 
1  
 
Title
Country
Organisation
Author
Date
1
FINRA Proposes Revisions To Gifts, Gratuities And Non-Cash Compensation Rules
On August 5, 2016, FINRA in Regulatory-Notice 16–291 proposed revisions to its regulation of broker-dealer gifts, entertainment and non-cash compensation and requested comments to the same.
United States
22 Aug 2016
2
FINRA Proposes Revisions To Fixed-Income Research Rule
Earlier this week, FINRA filed with the SEC proposed revisions to Rule 2242,2 FINRA's new fixed-income research rule.
United States
2 Jun 2016
3
SEC Offers Relief To M&A Brokers
The Office of the Chief Counsel of the Division of Trading and Markets of the Securities and Exchange Commission recently issued an important "No-Action" Letter.
United States
27 Feb 2014
Links to Result pages
 
1