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Effective Date – FINRA Rule 2273

Name: Effective Date – FINRA Rule 2273
Start: 2016-11-11T00:00:00-06:00
End: 2016-11-11T23:59:59-06:00

November 11, 2016

FINRA Rule 2273 (Educational Communication Related to Recruitment Practices and Account Transfers) becomes effective November 11, 2016. The rule establishes an obligation to deliver an educational communication in connection with firm recruitment practices and account transfers. For more information, see Regulatory Notice 16-18.

Details

Date:: November 11, 2016
Event Categories:: Compliance, Registration & Licensing, Regulatory Notice
Event Tags:: FINRA Rule 2273