*Letters

FINRA Proposed Rule Changes Relating To Payments

Published on:
October 22, 2014

SIFMA submitted comments to the Securities and Exchange Commission (SEC) on the Financial Industry Regulatory Authority’s (FINRA) proposal to adopt FINRA Rule 2040 – Payments to Unregistered Persons (Proposed Rule 2040) and FINRA Rule 0190 – Effective Date of Revocation, Cancellation, Expulsion, Suspension or Resignation (Proposed Rule 0190) and to amend FINRA Rule 8311 – Effect of a Suspension, Revocation, Cancellation, or Bar (Rule 8311).

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