Brokers Seeing Red Over FINRA's 30-Day Notice Proposal

Curtis, Carol E.
May 2010
Securities Industry News;5/17/2010, Vol. 22 Issue 10, p1
Trade Publication
The article reports on a proposal released by the U.S. Financial Industry Regulatory Authority (FINRA) that requires brokers and securities firms to provide a 30-day written notice of changes in business activities, such as changes to clearance activities or the launch of products or services. The article notes that disclosure of information is seen as a way to protect investors. Opposition to the changes from brokers is discussed.


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