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Don’t Be on the Naughty List – FINRA’s Equity & Debt Research Rule Changes Taking Effect Soon

Posted on December 7th, 2015 by Buddy Doyle

FINRA is giving its members a holiday gift this year – New Equity and Debt Research Rules will take effect on December 24, 2015, and firms must adjust their policies and procedures to reflect the changes or risk being on the naughty list. Member firms should review their policies, procedures, processes and controls, and determine… READ MORE

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Lance Whittemore,Director

Lance's career in financial services spans over 15 years and has a wide scope of expertise with RIAs, Broker/Dealers and clearing firms, performing examinations, and audits.

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