FINRA has issued a regulatory notice (RN 16-18) regarding new Rule 2273, which requires member firms, when hiring a new broker from the competition, to send an “educational communication” to
Continue Reading FINRA Announces Rule 2273, Requiring Broker’s New Firm to Send “Educational Communication” to Broker’s Customers Before Transfer of the Customer’s Assets to the New Firm
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FINRA Set to Emphasize ‘Firm Culture’ and Ethics as Exam Priorities in 2016
By John K. Wells on
FINRA recently released its 2016 Regulatory and Examination Priorities Letter, an annual event which serves to highlight both emerging and existing risks in the financial services industry. The letter serves…
Continue Reading FINRA Set to Emphasize ‘Firm Culture’ and Ethics as Exam Priorities in 2016