Tag Archives: FINRA Rule 6432

FINRA’s Adopts Electronic Form 211 for FINRA Rule 6432 Compliance

The Financial Industry Regulatory Authority (FINRA) has adopted a new electronic Form 211 for purposes of compliance with FINRA Rule 6432 (Compliance with the Information Requirements of SEA Rule 15c2-11). ¬†FINRA member firms must begin using the electronic Form 211, in place of the current paper form, beginning on October 23, 2017, but they may … Continue reading FINRA’s Adopts Electronic Form 211 for FINRA Rule 6432 Compliance