FINRA Issues Significant And Detailed Guidance On Credit For Extraordinary Cooperation

Authors :: Dunbar, Mary
Source :: Mondaq Business Briefing. July 29, 2019
Publication Year :: 2019
Abstract: On July 11, 2019, FINRA issued Regulatory Notice 19-23 (2019 Notice), restating and significantly supplementing its prior guidance regarding the circumstances under which a broker-dealer or associated person may get [...]

Subjects :: Credit -- Laws, regulations and rules
Cooperation -- Laws, regulations and rules
Brokers -- Laws, regulations and rules
Financial services -- Powers and duties
Government regulation
Financial services industry
Business, international
Financial Industry Regulatory Authority Inc. -- Powers and duties

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