FINRA Requests Comment on the Effectiveness and Efficiency of Its Carrying Agreements Rule

FINRA Requests Comment on the Effectiveness and Efficiency of Its Carrying Agreements Rule

Posted by GFT on 27th Mar 2018

Summary

FINRA is conducting a retrospective review of the rule governing carrying agreements 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.

READ FULL NOTICE HERE

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