Home Archive by Category "FINRA Compliance" (Page 2)
FINRA Compliance
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The Payment Of Finders’ Fees- An Ongoing Discussion
Introduction As a recurring topic, I discuss exemptions to the broker-dealer registration requirements for entities and individuals...
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The Treasury Department Report To The President On Capital Markets
In October 2017, the U.S. Department of the Treasury issued a report to President Trump entitled “A Financial System That Creates Ec...
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