Tag: Financial Industry Regulatory Authority
Blog, Securities Fraud Articles
March 28, 2023
FINRA Rule 4512 Customer Account Information
What is FINRA Rule 4512? The Customer Account Information Rule – FINRA Rule 4512 was created by the Financial Industry Regulatory...
Blog, Securities Fraud Articles
March 27, 2023
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...
March 23, 2023
FINRA Rule 3270 Outside Business Activities
What is FINRA Rule 3270 Outside Business Activities? The Financial Industry Regulatory Authority (FINRA), the regulator that oversees...
March 21, 2023
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...
Blog, Securities Fraud Articles
February 17, 2023
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...
Blog, Securities Fraud Articles
October 15, 2020
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...