FINRA Aims For Transparency With Amended 'Publicity Rule'

Law360, New York (September 10, 2013, 4:27 PM EDT) -- 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...
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