Jul 31, 2015

FINRA Requests Comment on Proposed Rule Requiring Delivery of FINRA Disclosure Document to Customers of Transferring Representatives

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On May 27, 2015, FINRA solicited comment on a proposed rule (the “proposed rule”) that would require a firm to which a representative has recently transferred to provide material prepared by FINRA (the “FINRA Disclosure Document”) to customers of the transferring representative in certain situations. The FINRA Disclosure Document highlights issues that FINRA believes retail customers should consider when determining whether to transfer assets to a representative’s new firm. The proposed rule would not apply to institutional customers.

View full memo, FINRA Requests Comment on Proposed Rule Requiring Delivery of FINRA Disclosure Document to Customers of Transferring Representatives

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Charles Gittleman

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Russell Sacks

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