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Broker-Dealer › Educational Communications Rule

Baker Donelson

New Requirements for Broker Recruitment

Baker Donelson on

On December 16, 2015, the Financial Industry Regulatory Authority (FINRA) proposed Rule 2273 requiring brokers who move to a new firm to send an "educational communication" to customers they want to take with them, informing...more

Burr & Forman

SEC Approves FINRA Rule 2273

Burr & Forman on

The SEC has approved FINRA Rule 2273, which requires a transferring representative to send customers an educational communication regarding firm recruitment practices and account transfers. The rule is designed to address...more

Broker-Dealer Compliance + Regulation

SEC Approves FINRA’s Educational Communication Rule

Broker-Dealer Compliance + Regulation on

The SEC recently approved FINRA’s new Rule 2273 (Educational Communication Related to Recruitment Practices and Account Transfers), which requires delivery of an educational communication prepared by FINRA to customers of a...more

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