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Comment Period Ends: FINRA Request for Revised Proposal to Adopt FINRA Rule Regarding Discretionary Accounts and Transactions

August 17, 2015

FINRA has requested comments on a revised proposal to adopt the NASD and Incorporated NYSE rules regarding discretionary accounts and transactions as FINRA Rule 3260 (Discretionary Accounts and Transactions by Persons Other Than the Customer) in the consolidated FINRA rule book. In addition,he revised proposal addresses the treatment of customers’ free credit balances, sweep programs, bulk transfers of customers’ accounts and change of broker-dealer of record. The comment period ends on August 17, 2015.  Click Here for Full Notice


August 17, 2015
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