FINRA Issues Q&A on Rule 2273 (Educational Communication Related to Recruitment Practices and Account Transfers)

FINRA Rule 2273 (“Rule 2273”) becomes effective on November 11, 2016, after initial approval by FINRA in March of this year.  Rule 2273 requires all FINRA member firms that recruit a registered representative after November 11, 2016 to deliver a FINRA-created educational communication highlighting key considerations for the representative’s former customers.  In response to queries from its members, FINRA released…

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