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25-00141.pdf
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FINRA Moves to Align Performance Projection Requirements
February 11, 2026
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FINRA Focus Webinar: SEA Rule 15c3-3 Customer Protection Interpretive Updates and Common Pitfalls
This targeted educational series is designed specifica
FINOP Focus Webinar Series: SEA Rule 15c3-3 Exemptions and Reporting
This targeted educational series is designed specifica
511. Securities as Compensation
A capital acquisition broker may receive compensation in the form of equity securities of a privately held issuer on behalf of which the capital acquisition broker provided services permitted under Rule 016(c)(1), provided that the receipt, exercise or subsequent sale of such securities will not cause the capital acquisition broker to engage in any activity prohibited under Rule 016(c)(2).
| Adopted b |
24-02595.pdf
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