2020066123602 First Trust Portfolios L.P. CRD 28519 AWC ks.pdf

Between at least 2018 and at least February 2024, First Trust provided non-cash compensation (e.g., gifts, meals, and entertainment) to representatives of retail broker-dealers that sell First Trust investment company securities (Client Firms) in amounts that significantly exceeded FINRA limits, and in certain instances provided non-cash compensation reconditioned on Client Firm representatives achieving sales targets.

A Conversation with FINRA CEO Robert Cook and Small Firm Advisory Committee Chair Preston Haxo

In early October, FINRA CEO Robert Cook joined Small Firm Advisory Committee Chair Preston Haxo for a conversation at FINRA’s Small Firm Conference. The two spoke about FINRA Forward, the vital role of the SFAC, the practical ways firms can engage with FINRA, and more. On this episode of FINRA Unscripted, we tune in to that conversation.
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