Regulatory Notice 08-82
FINRA Reminds Firms of Their Sales Practice Obligations with Regard to Cash Alternatives
FINRA is issuing this Notice to remind firms of their obligations in the sale of investments as alternatives to cash holdings.1 This Notice provides guidance to firms concerning the requirements to:
Questions concerning this Notice should be directed to Angela C. Goelzer, Associate Vice President and Counsel, at (202) 728-8120.
1 Regulatory Notice 08-81, also issued December 16, 2008, addresses firms' sales practice obligations with regard to the sale of securities in a high-yield environment.
|View Full Notice||PDF 76 KB|