FINRA Revises the Product and Problem Codes Used for Reporting Customer Complaints and Filing Required Documents Online
Regulatory Notice 14-20 Implementation Date: October 1, 2014 Executive Summary Starting on October 1, 2014, firms must select revised and new product and problem codes when: (1) reporting information regarding … Continue reading FINRA Revises the Product and Problem Codes Used for Reporting Customer Complaints and Filing Required Documents Online