Search results with tag "Regulatory notice 17"
Regulatory Notice 17-30 - finra.org
www.finra.orgPage 1 of 73 Regulatory Notice 17-30 New and Amended Rule Text New language is underlined; deletions are in brackets. * * * * * Text of New and Amended FINRA Rules
Regulatory Notice 17-40 - finra.org
www.finra.orgThis Notice provides guidance to member firms regarding their obligations under FINRA Rule 3310 in light of the adoption of FinCEN’s CDD Rule. In addition, the Notice summarizes the CDD Rule’s impact on member firms, including the addition of the new fifth pillar
Regulatory Notice 17-18 - finra.org
www.finra.orgThere are exceptions. Regulatory Notice 10-06 states that third-party posts on a firm or associated person’s business website may constitute communications with the public by
Regulatory Notice 17-37 - finra.org
www.finra.orgCAB Rules 203 and 458 make clear that CABs are subject to FINRA’s pay-to-play and related recordkeeping rules and, therefore, that CABs, similarly to …