*Letters

Regulatory Notice 15-19 Delivery of Educational Communication Proposal

Published on:
July 13, 2015

SIFMA provides comments to FINRA on Regulatory Notice 15-19, a Proposed rule to require delivery of FINRA-created educational communication to customers of a transferring representative.

SIFMA has a long standing public record of supporting plain English disclosure to investors of material terms and potential material conflicts of interest at pivotal points in the investment process.

See also:

Regulatory Notice 15-19

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