*Letters

FINRA Rule 2273 Establishing an Obligation to Deliver an Educational Communication

Published on:
January 20, 2016

SIFMA provides comments to the Securities and Exchange Commission (SEC) on the Financial Industry Regulatory Authority’s (FINRA) proposal to adopt FINRA Rule 2273. The Proposal will establish an obligation for FINRA member firms to deliver an educational communication in connection with member recruitment practices and account transfers.

See also:

SR-FINRA-2015-057

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