The Financial Industry Regulatory Authority (FINRA) has proposed a sweeping update to how broker‑dealers handle outside business activities ...
The Financial Industry Regulatory Authority, Inc. (“FINRA”) has proposed a new rule (the “Proposal”) that would consolidate and modernize its ...
The Board approved the following rule proposals at the June meeting. General information about FINRA’s rulemaking process is available here. Amendments to FINRA Rule 4311 (Carrying Agreements)—The ...
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