Financial Matters
On July 9, new Financial Industry Regulatory Authority (FINRA) Rule 2090 and FINRA Rule 2111 will take effect. FINRA's goal is to "strengthen, streamline and clarify" those important investor protection rules. That goal is apparent in reviewing FINRA Regulatory Notices 11-25 and 12-25, which elaborate on those new rules.Regulatory Notice 12-25 contains an informative answer to the question of what …
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