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FAQ's On FINRA's Broker Compensation Proposal


On March 10, 2014, FINRA filed proposed Rule 2243 with the SEC.

The proposed rule would require firms and registered reps to disclose certain financial incentives offered to reps in connection with a change in employment and would require firms to report information concerning the same subject to FINRA. 

Michael spoke about the proposed rule at the SIFMA's C&L Annual Seminar in Orlando.  Following are the most frequently asked questions concerning the proposed Rule.

Read the full article on the Non-Compete and Trade Secrets blog.

Michael's article was also featured on


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