Regulatory Updates: FINRA and SEC Rule Changes and Guidance of Interest

24 No. 1 PIABA B.J. 109 (2017)

PIABA 26TH Annual Meeting (2017)

St. John's Legal Studies Research Paper No. 18-0007

15 Pages Posted: 15 May 2018

See all articles by Christine Lazaro

Christine Lazaro

St. John's University - School of Law

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

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

Christine Lazaro (Contact Author)

St. John's University - School of Law ( email )

8000 Utopia Parkway
Jamaica, NY 11439
United States

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