Regulacje i polityka gospodarcza · 07/12/2009

FINRA Approves Proposed Rule Changes for Fiduciary Capacity and Order Entry Practices

The Financial Industry Regulatory Authority (FINRA) has approved proposed rule changes to adopt rules 2060 and 5290, which govern the use of information obtained in fiduciary capacity and order entry and execution practices, respectively, in the Consolidated FINRA Rulebook.