Download This PaperRegulatory Updates: FINRA and SEC Rule Changes and Guidance of Interest
24 No. 1 PIABA B.J. 109 (2017)
PIABA 26TH Annual Meeting (2017)
15 Pages Posted: 15 May 2018
Date Written: May 14, 2018
Abstract
FINRA, the Financial Industry Regulatory Authority, regularly adopts and amends its rules governing the conduct of brokers within the securities industry. This article provides an overview of relevant rule changes from mid-2016 through 2017. Additionally, the article discussed certain SEC and CFTC rule changes.
Suggested Citation: Suggested Citation
Lazaro, Christine, Regulatory Updates: FINRA and SEC Rule Changes and Guidance of Interest (May 14, 2018). 24 No. 1 PIABA B.J. 109 (2017), PIABA 26TH Annual Meeting (2017), St. John's Legal Studies Research Paper No. 18-0007, Available at SSRN: https://ssrn.com/abstract=3178392
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