Tag: Rule Filings

FINRA Office
Compliance

Recent FINRA Rule Filings

When seclaw.com/glossary/finra/” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>FINRA decides to change or modify any of its rules, or to add a new rule, it is required to provide notice to its members and the general public regarding the modification or addition and to allow for comment. It does this by a Notice of Rule Filing, which […]