Regulacje i polityka gospodarcza · 03/09/2021

FINRA Approves Proposed Rule Change for Restricted Firm Obligations and Regulating Activities

The Financial Industry Regulatory Authority (FINRA) has approved a proposed rule change to adopt FINRA Rule 4111 (Restricted Firm Obligations) and FINRA Rule 9561 (Procedures for Regulating Activities Under Rule 4111), as modified by Amendment No. 1 and Amendment No. 2.