Latest Posts › Brokers

Share:

New FINRA Rule Limits Registered Persons From Being Named Customer’s Beneficiary

The Financial Industry Regulatory Authority (FINRA) has announced that it has adopted a rule to limit a registered person from being named a customer’s beneficiary, executor, or trustee or from holding a power of attorney or...more

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:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide