FINRA Files Proposed Amendments to Communications Rules
By EsqSocial Corporation 26/03/14
FINRA filed with the SEC proposed amendments to FINRA Rule 2210, related to communications with the public, and FINRA Rule 2214, which sets forth requirements for the use of investment analysis tools (the “Amendments”). FINRA Rules 2210 and 2214...
By: Goodwin Procter LLP