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