January 09, 2013

FINRA Rule 5270 FAQs: Front Running of Block Transactions


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Recently, FINRA adopted new Rule 5270 to address front running of block transactions, and to replace NASD IM-2110-3. The front-running prohibitions in Rule 5270 are significantly broader than current IM-2110-3. In this publication, we have provided a list of what we view as frequent questions relating to the new rule.

View full memo, "FINRA Rule 5270 FAQs: Front Running of Block Transactions"

Autoren und Mitwirkende

Charles Gittleman

Of Counsel

Financial Institutions Advisory & Financial Regulatory

+1 212 848 7317

+1 212 848 7317

New York