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FINRA Plans Major Changes to Rules Governing the Expungement of Customer Complaint Information

USA - February 26 2018 FINRA recently issued Notice to Members 17-42, which proposes sweeping changes to the existing process for expunging reference to a customer complaint…

FINRA Plans Major Changes to Expungement Rules

USA - February 26 2018 FINRA recently issued Notice to Members 17-42, which proposes sweeping changes to the process by which a securities broker may seek to expunge…

Massachusetts Offers Policy Guidance on Investment Advisers’ Use of Robo-Advisers

USA - August 11 2016 As robo-advisers continue to grow in popularity with investors, especially millennial investors, at least one regulator is taking a closer look. On…

Robert S. Frenchman.

FINRA Sends Targeted Exam Letter Concerning the Sale of Non-Traded Business Development Companies

USA - August 9 2016 FINRA recently sent a sweep letter (or targeted exam letter) to select broker dealers, inquiring about those firms’ sale of non-traded Business…

FINRA Announces Rule 2273, Requiring Broker’s New Firm to Send “Educational Communication” to Broker’s Customers Before Transfer of the Customer’s Assets to the New Firm

USA - May 25 2016 FINRA has issued a regulatory notice (RN 16-18) regarding new Rule 2273, which requires member firms, when hiring a new broker from the competition…