Mary Anne Morgan

Mary Anne Morgan

Dechert LLP

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FINRA Moves Forward with Proposed Amendments to its Suitability and Non-Cash Compensation Rules

The Financial Industry Regulatory Authority, Inc. filed proposed amendments with the Securities and Exchange Commission on March 19, 2020, to FINRA Rule 2111 (Suitability Rule) and Capital Acquisition Broker (CAB) Rule 211...more

4/10/2020  /  Broker-Dealer , Conflicts of Interest , Financial Industry Regulatory Authority (FINRA) , Non-Cash Compensation , Proposed Amendments , Regulation Best Interest , Securities and Exchange Commission (SEC) , Suitability Rule
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