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.Executive Vice President & General Counsel 770 980-8488Email David