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
- White House executive order seeks to assert control over regulatory agencies
- Paul Atkins sworn in as new chairman of the Securities and Exchange Commission
- SEC awards $6 million to joint whistleblowers for assistance leading to enforcement action
- New initiatives, ‘FINRA Forward’, aimed at supporting members, markets and investors
- Recent FINRA awards highlight role of punitive damages in securities arbitration
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