Nov 4, 2021 · Rule 3241 became effective on February 15, 2021. 2. Text of Rule. FINRA Rule 3241 states that a registered person shall decline: “being named ...
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“Reasonable” Does Not Mean Perfect: Recent FINRA Regulatory Developments and Interpretive Questions. November 4, 2021. Read More ...
Carlton Fields attorneys handle FINRA regulatory investigations and enforcement matters across the country. We also handle FINRA arbitrations of industry and ...
Jul 26, 2021 · On June 23, 2021, FINRA published Regulatory Notice 21-23 specifically reminding firms of their best execution obligations in the context of ...
Recent life insurance and annuity developments include (1) Financial Industry Regulatory Authority. (FINRA) focus on variable annuity exchanges and buyout ...
Feb 17, 2022 · The 2021 exams reviewed and tested firms' practices in making recommendations that adhere with Reg BI's Care Obligation, identifying and ...
Nov 2, 2022 · On November 1, 2022, FINRA issued Regulatory Notice 22-23, which provides member firms with guidance on succession planning.
FINRA publishes Notices to provide firms with timely information on a variety of issues. To obtain a Notice published prior to 1995, please contact FINRA ...
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The Financial Industry Regulatory Authority Inc. (FINRA) is a private corporation that acts as a self- regulatory organization (SRO) for the securities ...
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Our extensive experience covers the full range of activities from the formation and registration of broker-dealers and FINRA membership matters to operational, ...