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

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