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Securities Litigation

06.8.2016

Chameleon SROs: The Gov’t, But Not Really

For years, self-regulatory agencies (like FINRA or the Exchanges) have wielded the statutory authority granted them by Congress – and backed by the SEC –…

05.23.2016 | by: Benjamin B. Coulter

SEC Approves FINRA Rule 2273

The SEC has approved FINRA Rule 2273, which requires a transferring representative to send customers an educational communication regarding firm recruitment practices and account transfers.…

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