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). … Continue reading FINRA’s Adopts Electronic Form 211 for FINRA Rule 6432 Compliance