FINRA is pushing ahead with its proposed rule to require brokers to provide compensation information their clients. The FINRA board announced earlier this month that it would solicit feedback on the proposal through a forthcoming Regulatory Notice. The SEC must then approve the rule.
Firefox recommends the PDF Plugin for Mac OS X for viewing PDF documents in your browser.
We can also show you Legal Updates using the Google Viewer; however, you will need to be logged into Google Docs to view them.
Please choose one of the above to proceed!
LOADING PDF: If there are any problems, click here to download the file.
