Regulatory Updates: FINRA and SEC Rule Changes and Guidance of Interest

Authors

Christine Lazaro, St. John's University School of LawFollow

Document Type

Article

Publication Title

PIABA Bar Journal

Publication Date

2017

Volume

24

First Page

109

Abstract

Over the past year, FINRA has proposed and approved new rules and amendments to its existing rules. FINRA has also issued supplemental guidance on existing rules. This article highlights those rule changes and guidance governing sales practice obligations of brokers, as well as the arbitration process. Additionally, this article will cover certain recently adopted SEC and CFTC rules.

Comments

Available at: https://ssrn.com/abstract=3178392

Reprinted with the permission of Public Investors Arbitration Bar Association (PIABA). Christine Lazaro, Regulatory Updates: FINRA and SEC Rule Changes and Guidance of Interest, PIABA B.J., Vol 24, No. 1 (2017).