June 15, 2020

Corporate & Financial Weekly Digest, Featuring Articles on FINRA Releases White Paper on Artificial Intelligence, OCC Promulgates Final Rule on "Valid When Made" and European Commission Publishes Report on AIFMD Review

Christina Grigorian, Carolyn Jackson, Nathaniel Lalone, Susan Light, Neil Robson

Katten Muchin Rosenman LLP

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BROKER-DEALER -

FINRA Revises Problem Codes for Reporting Customer Complaints and for Filing Documents Online -

On June 10, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 20-17, which addresses changes to the Problem Codes that FINRA members are required to use for self-reporting customer complaints. These changes are designed in part to account for the new Regulation Best Interest and Form CRS requirements that take effect on June 30.

Please see full publication below for more information.

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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.