Regulatory Notice 18-14
FINRA Requests Comment on the Effectiveness and Efficiency of Its Rule on the Annual Compliance Meeting
FINRA is conducting a retrospective review of Rule 3110 (Supervision), governing annual compliance meetings to assess its effectiveness and efficiency. This Notice outlines the general retrospective rule review process and seeks responses to several questions related to firms’ experiences with this specific rule.
Questions regarding this Notice should be directed to:
|Date||Commenter||Format - Size|
|5/1/2018||EFS Advisors||PDF - 40.92 KB|