Tag Archives: FINRA Rule 9910

FINRA Employees to be Subject to New Post-Employment Conflict of Interest Rule

To minimize the potential for a conflict of interest with  former FINRA employees representing persons to the Financial Industry Regulatory Authority (“FINRA”), FINRA  is filing  a proposed rule  to prohibit: Any former officer of FINRA from making certain communications to or appearances before FINRA for one year. Former FINRA  employees from making certain communications to or … Continue reading FINRA Employees to be Subject to New Post-Employment Conflict of Interest Rule