FINRA’s Conflicts of Interest Review on Broker Compensation: It’s Time to Get Under the Hood

Last month, FINRA issued a Targeted Exam Letter to about a dozen retail broker-dealers seeking detailed information about a broad range of compensation practices, including payout grids, recruiting incentives, mutual fund fees, and income received from product sponsors.  The letter requests firms to identify and describe how compensation is determined and governed and to explain … More FINRA’s Conflicts of Interest Review on Broker Compensation: It’s Time to Get Under the Hood

Welcome to Play by the Regs

This Blog is being established by the Financial Regulatory and Compliance practice group at Shulman, Rogers, Gandal, Pordy & Ecker, P.A., a full-service law firm of 100+ attorneys located in suburban Washington, D.C.  The firm has a well-established Business and Financial Services practice which includes a group of practitioners who concentrate on the broker-dealer business, … More Welcome to Play by the Regs