On May 27, 2015, FINRA released Regulatory Notice 15-19 (“RN 15-19”) seeking comment on a proposed rule which would require recruiting firms to provide educational communications to retail customers who intend to transfer their assets to a registered representative’s...
Representing financial professionals, financial institutions and investors in investment loss, employment and disclosure matters, and in regulatory investigations nationwide.
Month: June 2015
FINRA Proposes to Make It Easier to Communicate with the Public
FINRA has proposed several amendments to the public communications rules[1] that are designed to ease some of the regulatory burdens associated with these rules, while not sacrificing underlying investor protections. The proposals emerged from a reassessment FINRA...
