Posts tagged Broker Compensation-Disclosure Rule.

It is not uncommon for registered representatives to change broker-dealers over the course of their career.

In most cases, their customers will typically switch firms as well, as they follow their representative to wherever he or she may go. Seems like a non-issue, right? FINRA did not think so. FINRA became concerned that when the representatives contacted the customers to discuss the switch, the customers may not be provided all the information necessary to make an informed decision on whether to transfer their assets. Accordingly, FINRA proposed a rule that requires ...

Posted in: FINRA, SEC
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