Following the consolidation of NASD and NYSE Regulation into FINRA, FINRA established a process to develop a new consolidated rulebook. The consolidated rulebook seeks not only to harmonize and streamline existing rules, but also to give consideration to the rapidly evolving nature of the securities business and the broad diversity of firms subject to FINRA regulation. Throughout the consolidation of the rulebook, FSI provides meaningful input by commenting on proposed rules to ensure the best interest of independent broker-dealers, financial advisors, and the clients they serve are considered.
Click the headlines below to read FSI’s recent comment letters related to the FINRA Rulebook Consolidation.
David Bellaire, Esq.General Counsel & Director of Government Affairs770 980-8488e-mail David
Matthew Schwartz, Esq.Government Affairs Counsel770 980-8493e-mail Matthew