http://www.compliancebuilding.com/2010/04/08/finra-and-placement-agents/ Doug Cornelius on compliance and business ethics for private equity real estate Sun, 12 Feb 2012 13:01:08 +0000 hourly 1 http://wordpress.org/?v=3.3.1 http://www.compliancebuilding.com/2010/04/08/finra-and-placement-agents/comment-page-1/#comment-7052 SEC Votes on Pay to Play | Compliance Building Wed, 30 Jun 2010 14:49:06 +0000 http://www.compliancebuilding.com/?p=6714#comment-7052 [...] be a one year period before the placement agent limitations are effective. This is designed to give FINRA time to enact its new regulations on pay-to-play.  It’s not clear if the one-year period is applicable for the other parts of Rule 206 [...] [...] be a one year period before the placement agent limitations are effective. This is designed to give FINRA time to enact its new regulations on pay-to-play.  It’s not clear if the one-year period is applicable for the other parts of Rule 206 [...]

]]> http://www.compliancebuilding.com/2010/04/08/finra-and-placement-agents/comment-page-1/#comment-6945 SEC’s Rule on Pay to Play is Coming | Compliance Building Fri, 25 Jun 2010 14:07:35 +0000 http://www.compliancebuilding.com/?p=6714#comment-6945 [...] in April, the SEC engaged FINRA to craft rules for registered broker-dealers when acting as a placement agent soliciting investments from [...] [...] in April, the SEC engaged FINRA to craft rules for registered broker-dealers when acting as a placement agent soliciting investments from [...]

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