FINRA Pushes Compensation Proposal Forward

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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.

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Topics:  Brokers, Compensation & Benefits, Conflicts of Interest, Disclosure Requirements, FINRA, Registered Representatives, SEC

Published In: Business Organization Updates, Finance & Banking Updates, Securities Updates

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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