FINRA Seeks to Harmonize Financial Responsibility and Operational Rules

FINRA Seeks to Harmonize Financial Responsibility and Operational Rules

Client News
The Financial Industry Regulatory Authority ("FINRA") recently released Regulatory Notice 09-03 ("Notice"), which contains a proposal for a single set of financial responsibility and related operational rules for the Consolidated FINRA Rulebook. For more on Regulatory Notice 09-03, see our recent Email Alert.

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