Tag Archives: FINRA Rule 2273

Effective Date – FINRA Rule 2273

FINRA Rule 2273  (Educational Communication Related to Recruitment Practices and Account Transfers) becomes effective November 11, 2016.  The rule establishes an obligation to deliver an educational communication in connection with firm recruitment practices and account transfers.  For more information, see  Regulatory Notice 16-18.

FINRA Requiring Educational Communication for Transfer Customers

The Financial Industry Regulatory Authority (“FINRA”) announced in Regulatory Notice 16-18 that the Securities and Exchange Commission approved the adoption of FINRA Rule 2273  (Educational Communication Related to Recruitment Practices and Account Transfers).  The rule establishes an obligation to deliver an educational communication in connection with firm recruitment practices and account transfers.  The rule becomes effective … Continue reading FINRA Requiring Educational Communication for Transfer Customers