New FINRA Supervision Rules Impact Broker-Dealers’ Insider Trading Procedures and Supervisory Controls
By EsqSocial Corporation 30/01/14
Financial Industry Regulatory Authority (FINRA) rules require member firms to establish and maintain a system of written procedures to supervise the activities of its members. On December 23, 2013, the SEC approved new FINRA rules. Among other...
By: Morrison & Foerster LLP - Broker-Dealer