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Notable FINRA Rule Changes by Fred N. Knopf
Wilson Elser Moskowitz Edelman & Dicker LLP - White Plains Office
Ami Shah
Wilson Elser Moskowitz Edelman & Dicker LLP - White Plains Office
Abigail D. Rubin
Wilson Elser Moskowitz Edelman & Dicker LLP - White Plains Office
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July 8, 2009
Previously published on June 2009
There have been several recent amendments to current FINRA rules, which impact broker-dealers and associated persons in the securities industry. Some amendments are favorable, such as the increase in the threshold for customer complaint reporting, whereas the amendment requiring Form U-4 disclosure for all arbitrations and civil actions, even when the broker has not been named will negatively impact brokers.
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The views expressed in this document are solely the views of the author and not Martindale-Hubbell. This document is intended for informational purposes only and is not legal advice or a substitute for consultation with a licensed legal professional in a particular case or circumstance. |
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