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PIABA Bar Journal

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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.


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


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