logo_web_wht
(888) 637-5510

Tag: Financial Industry Regulatory Authority

Blog, Securities Fraud Articles

FINRA Rule 2090: Know your Customer 

What is FINRA Rule 2090?  FINRA Rule 2090, also known as the “Know Your Customer” rule, was created by the Financial Industry...

Read More

Blog

FINRA Rule 3270 Outside Business Activities 

What is FINRA Rule 3270 Outside Business Activities? The Financial Industry Regulatory Authority (FINRA), the regulator that oversees...

Read More

Blog

FINRA Rule 2010 

What is FINRA Rule 2010? The Financial Industry Regulatory Authority (FINRA) sets and enforces rules, such as Rule 2010, that govern the...

Read More

Blog, Securities Fraud Articles

What is FINRA? The Financial Industry Regulatory Authority

 The Financial Industry Regulatory Authority (FINRA) FINRA, or the Financial Industry Regulatory Authority, is private corporation that...

Read More

Blog, Securities Fraud Articles

FINRA may Tighten Senior Exploitation Rule 

The Financial Industry Regulatory Authority’s revised rule would extend a temporary hold on accounts to protect Seniors. According to...

Read More