Regulatory Notice 11-34

FINRA Reaffirms Its Guidance in NTM 00-02 on Soliciting Business in Foreign Jurisdictions and Withdraws NTM 98-91

Executive Summary

FINRA is reaffirming its guidance in Notice to Members (NTM) 00-02 concerning the solicitation of business in foreign jurisdictions. FINRA also is withdrawing NTM 98-91 in light of changes to the legal and regulatory framework in the United Kingdom (U.K.).

 

Questions concerning this Notice should be directed to:

  • Paul Andrews, Vice President, International, at (202) 728-8235; or
  • Matthew E. Vitek, Counsel, OGC, at (202) 728-8156.