FINRA Aims For Transparency With Amended 'Publicity Rule'

Law360, New York (September 10, 2013, 4:27 PM ET) -- In the past few weeks, the Financial Industry Regulatory Authority published several regulatory notices, two of which should be of interest to all broker-dealers.

Regulatory Notice 13-27 discusses recently approved amendments to the oddly named “publicity rule” concerning release of FINRA disciplinary complaints and decisions, statutory disqualification decisions and other information.

Regulatory Notice 13-25 is a joint advisory issued with the U.S. Securities and Exchange Commission and the U.S. Commodity Futures Trading Commission, discussing business continuity plans and “best practices and lessons learned” following the wide...
To view the full article, register now.