Proposed Rule Archives - Master Compliance

20 01, 2021

FINRA’s Proposed Change to Rules 5122 and 5123
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FINRA’s Proposed Change to Rules 5122 and 5123
Broker-Dealer, Communication, Communications, Filing Requirements, FINRA, Private Placements, Retail Communications, Rules and Regulations, SEC, Social Media, Supervision

FINRA’s Proposed Change to Rules 5122 and 5123

By admin|2021-01-20T13:52:43-05:00January 20, 2021|Broker-Dealer, Communication, Communications, Filing Requirements, FINRA, Private Placements, Retail Communications, Rules and Regulations, SEC, Social Media, Supervision|

On October 28, 2020, FINRA filed a proposed rule change [...]

6 04, 2018

OBAs & PSTs: FINRA Seeks Comment on Proposed Rule

By admin|2018-04-06T11:15:18-04:00April 6, 2018|Broker-Dealer, FINRA, Registered Investment Advisers, Rules and Regulations|

Last spring, FINRA began a review of its rules regarding [...]

27 10, 2016

Financial Exploitation of Specified Adults

By admin|2016-10-27T13:59:21-04:00October 27, 2016|Broker-Dealer, FINRA, Fraud, Rules and Regulations|

FINRA recently filed proposed new regulations regarding broker-dealer compliance with [...]