Monthly Archives: January 2016

FINRA’s New Recruitment Disclosure Rule – What Brokers Should Know

The Financial Industry Regulatory Authority (FINRA) filed its broker recruitment-disclosure rule (Rule 2273) with the Securities and Exchange Commission (SEC )on December 16, 2015. Rule 2273 requires brokers to deliver a FINRA-created “educational communication” to former customers when the broker … Continue reading

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