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

| Mar 10, 2016 | Financial News, FINRA 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...

Superior Results
—
Individual Attention

Chicago Office

161 N Clark St
Suite 1600
Chicago, IL 60601
Map & Directions

Contact Us

Phone: (312) 291-4600

Fax: (312) 281-9019

© 2020 Lewitas Hyman PC. All Rights Reserved.

Disclaimer | Site Map | Privacy Policy | Business Development Solutions by FindLaw, part of Thomson Reuters