FINRA · rule-notice · notice
FINRA: Guidance on SEC no-action letter for representative-owned service entiti
FINRA issued Regulatory Notice 26-12 providing guidance on how FINRA rules apply to an SEC no-action letter from November 2025. The letter permits registered representative-owned personal services entities to receive transaction-based compensation without broker-dealer registrat…
Read the notice at finra.org →
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