Transcription of 18-16 - finra.org
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18-16 - finra.org
Regulatory Notice 18-16 . High-Risk Brokers April 30, 2018. finra Requests Comment on finra Rule Amendments Notice Type Relating to High-Risk Brokers and the Firms That 00 Request for Comment Employ Them Suggested Routing Comment Period Expires: June 29, 2018 00 Compliance 00 Legal Summary 00 Operations 00 Registered Representatives finra seeks comment on proposed rule amendments that would impose additional restrictions on member firms that employ brokers with a history of 00 Senior Management significant past misconduct.
Summary FINRA seeks comment on proposed rule amendments that would impose additional restrictions on member firms that employ brokers with a history of
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