Tagged with "customer communications"

FINRA Issues Regulatory Notice Which Provides Guidance on Customer Communications Related to Departing Registered Representatives- Part 1

Posted on April 12th, 2019 at 5:04 PM
FINRA Issues Regulatory Notice Which Provides Guidance on Customer Communications Related to Departing Registered Representatives- Part 1

On April 5, 2019, FINRA issued Regulatory Notice 19-10 to provide guidance on customer communications related to departing registered representatives. This is the first in a series to address the key points in FINRA Regulatory Notice 19-10.

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