Regulatory Notice 14-50 relating to Pay-to-Play Practices
Summary
SIFMA provided comments to the Financial Industry Regulatory Authority (FINRA) in response to FINRA’s request for comments on proposed rules in Regulatory Notice 14-50 relating to pay-to-play practices.
SIFMA, SIFMA AMG, American Bankers Association (ABA), Bank Policy Institute (BPI), Institute of International Bankers (IIB), Investment Company Institute (ICI),…