FINRA new Pay to Play Rule

FINRA new Pay to Play Rule

 

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Welcome, thank you all for joining our webinar today hosted by MyComplianceOffice and Cipperman Compliance Services. With that I'll hand it over to Todd. Thank you.

 

This whole thing arose from the Rattner Quadrangle scandal. Let's not leave FINRA out of this like I said upfront. A couple of things FINRA has it's own version of pay to play rules, which have been proposed about a year ago, and they actually go into effect very similar to the SEC rules. A little bit different [inaudible 00:41:15] business, but they go into effect August of 2017, and sort of a related topic FINRA proposed new gift entertainment rules, which sort of are closely related to the pay to play these have not been put into effect yet, but last year to raise the gift limit de minimis from 100 to 175 dollars to broaden the security offerings tuition on cash compensation relates to, and making it more policy based on prohibiting quid pro quos. This is also going on. Let's go to the, I think it's the third [inaudible 00:41:51].

 
 
 
 
 
 
 
 
 
 
 
 

This webinar was co-hosted with Cipperman Compliance Services, LLC

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