Corporate & Financial Weekly Digest, Featuring Topics on Broker-Dealer, CFTC, Brexit and UK and EU Developments

Carolyn Jackson, Nathaniel Lalone, Neil Robson
Katten Muchin Rosenman LLP
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BROKER-DEALER -

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

On March 23, the Financial Industry Regulatory Authority (FINRA) announced it is conducting a retrospective review of FINRA Rule 4311, governing carrying agreements. As part of its review, FINRA has requested comment to determine the Rule’s effectiveness and efficiency.

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