FINRA Pay to Play Rules | Practical Law

FINRA Pay to Play Rules | Practical Law

This Practice Note discusses FINRA Rules 2030 (Engaging in Distribution and Solicitation Activities with Government Entities) and 4580 (Books and Records Requirements for Government Distribution and Solicitation Activities). These pay to play and related rules regulate the activities of FINRA member firms that engage in distribution or solicitation activities for compensation with government entities on behalf of investment advisers.

FINRA Pay to Play Rules

Practical Law Practice Note w-003-8168 (Approx. 9 pages)

FINRA Pay to Play Rules

by Practical Law Corporate & Securities
MaintainedUSA (National/Federal)
This Practice Note discusses FINRA Rules 2030 (Engaging in Distribution and Solicitation Activities with Government Entities) and 4580 (Books and Records Requirements for Government Distribution and Solicitation Activities). These pay to play and related rules regulate the activities of FINRA member firms that engage in distribution or solicitation activities for compensation with government entities on behalf of investment advisers.