Broker-Dealer Registration

Here is our updated “Who Does What…. ” publication. Ernest E. Badway – Who Does What: Broker Dealers | Registered Investment Advisers | Commodities/Futures Entities – Updated 2023 (foxrothschild.com)

Continue Reading Updated 2023– Who Does What: Broker Dealers | Registered Investment Advisers | Commodities/Futures Entities

FINRA’s National Adjudicatory Counsel (“NAC”), recently, affirmed a disciplinary panel decision significantly sanctioning a broker-dealer for paying unregistered persons and entities.  See https://www.finra.org/sites/default/files/2020-07/NAC_2014042606902_Silver-Leaf_062920.pdf.

FINRA alleged, among other things, that a
Continue Reading TRANSACTION-BASED COMPENSATION REQUIRES REGISTRATION . . . PERIOD

NY State Attorney General Targets Finders and Business Brokers in Pandemic Rule-Making


Continue Reading Fox Rothschild’s Securities Industry Group Members Ernie Badway and Alex Kerzhner Publish Alert on NYSAG’s Pandemic Rule-Making on Finders and Business Brokers