Mary Anne Morgan

Mary Anne Morgan

Dechert LLP

Contact
View Bio
RSS

Latest Posts › Broker-Dealer

Share:

FINRA Moves Forward with Proposed Amendments to its Suitability and Non-Cash Compensation Rules

The Financial Industry Regulatory Authority, Inc. filed proposed amendments with the Securities and Exchange Commission on March 19, 2020, to FINRA Rule 2111 (Suitability Rule) and Capital Acquisition Broker (CAB) Rule 211...more

4/10/2020  /  Broker-Dealer , Conflicts of Interest , Financial Industry Regulatory Authority (FINRA) , Non-Cash Compensation , Proposed Amendments , Regulation Best Interest , Securities and Exchange Commission (SEC) , Suitability Rule
1 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide