Regulatory Notice 19-10

FINRA Provides Guidance on Customer Communications Related to Departing Registered Representatives

Executive Summary

This Notice addresses the responsibilities of member firms when communicating with customers about departing registered representatives.

Questions regarding this Notice should be directed to:

  • Philip Shaikun, Vice President and Associate General Counsel, Office of General Counsel (OGC), at (202) 728-8451; and
  • Jeanette Wingler, Associate General Counsel, OGC, at (202) 728-8013.