Skip to main content
Welcome to the new Learn more about our updates.
Create your own user feedback survey

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