Proposed Rule Change to Adopt FINRA Rule 2273 (Educational Communication Related to Recruitment Practices and Account Transfers
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt FINRA Rule 2273, which would establish an obligation to deliver an educational communication in connection with member recruitment practices and account transfers.
|Title||Format - Size||Status|
|Text of the Proposed Rule Change||PDF - 11.96 MB|
|Federal Register Notice||PDF - 237.75 KB|
|Extension No. 1||PDF - 56.94 KB|
|Response to Comments||PDF - 248.35 KB|
|Approval Order||PDF - 276.03 KB|