Spotlight On FINRA Rule 4530

Law360, New York (March 10, 2011, 2:00 PM EST) -- The U.S. Securities and Exchange Commission has approved the new Financial Industry Regulatory Authority Rule 4530[1] that, after it takes effect, will be a key governing rule concerning the reporting of violations and complaints to FINRA. Any matter that becomes subject to reporting or filing on or after July 1, 2011 must be reported or filed in accordance with the requirements of new FINRA Rule 4530.[2]

While FINRA Rule 4530 is based in large part on the National Association of Securities Dealers (NASD) Rule 3070, there...
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