FINRA Rule 2273 (“Rule 2273”) becomes effective on November 11, 2016, after initial approval by FINRA in March of this year. Rule 2273 requires all FINRA member firms that recruit a registered representative after November 11, 2016 to deliver a FINRA-created...
Representing financial professionals, financial institutions and investors in investment loss, employment and disclosure matters, and in regulatory investigations nationwide.
Month: October 2016
Recent Posts
- FINRA enforcement chief outlines plans for protecting investors and markets
- SEC fines and censures 5 investment advisers over marketing rule violations
- OMB review completed on Department of Labor’s proposed fiduciary rule
- FINRA penalizes Florida broker-dealer and CEO over texting violations
- SEC charges Senvest Management with widespread recordkeeping violations
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