SEC Approves FINRA Rule Requiring Firms to Provide an “Educational Communication” to Former Clients of Transitioning Registered Representatives

| Mar 10, 2016 | Firm News, Securities and Compliance

The SEC approved a disclosure rule proposed by FINRA requiring that member firms hiring or associating with a registered representative provide the representative’s former clients an “educational communication” to be written by FINRA.   The communication is intended...

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