Tag Archives: Trading Disclosures

FINRA Posts Guidance on Disclosure to Retail Customers

The Financial Industry Regulatory Authority has released guidance to help securities firms implement a new rule requiring enhanced price disclosure to retail customers for trades in corporate and agency bonds. The new requirements go into effect May 14, 2018. The guidance, in the form of answers to frequently asked questions (FAQ), covers such topics as … Continue reading FINRA Posts Guidance on Disclosure to Retail Customers