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Regulatory Release

Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as modified by Amendment No. 1, to Amend FINRA Rule 3220 (Influencing or Rewarding Employees of Others)

Details

Rule Type

Notice

Release Number

34-103958

SEC Issue Date

Sept. 12, 2025 | 3:27 pm ET

Resources

34-103958

SRO Organization

Financial Industry Regulatory Authority (FINRA)

Last Reviewed or Updated: Sept. 12, 2025

Rules & Regulations

Enforcement & Litigation

Compliance

Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as modified by Amendment No. 1, to Amend FINRA Rule 3220 (Influencing or Rewarding Employees of Others)

Details

Resources

More in this Section

Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as modified by Amendment No. 1, to Amend FINRA Rule 3220 (Influencing or Rewarding Employees of Others)

Details

Resources