Tag Archives: Regulatory Notice 19-10

FINRA Points to Fair and Balanced Customer Communications Regarding Departing Registered Representatives

The Financial Industry Regulatory Authority (FINRA) has consistently sought to ensure that customers can make a timely and informed choice about where to maintain their assets when their registered representative (i.e., a person registered with the member who has direct contact with customers in the conduct of the member’s securities sales) leaves a member firm. … Continue reading FINRA Points to Fair and Balanced Customer Communications Regarding Departing Registered Representatives