Regulatory Notice 09-28

FINRA Reminds Firms of Their Obligation to Provide Accurate Information in Disseminating, or Using Services to Disseminate, Indications of Interest

Executive Summary

FINRA is issuing this Notice to remind firms of their obligation to communicate accurate information when disseminating, or using services to disseminate, indications of interest to the marketplace.

 

Questions regarding this Notice may be directed to: Quality of Markets, Market Regulation, (240) 386-2500; The Legal Section, Market Regulation, at (240) 386-5126; or The Office of General Counsel at (202) 728-8071.