Tag: FINRA Rules
FINRA Rule 3240 Borrowing From or Lending to Customers
Is it OK for Brokers to Borrow from Customers? FINRA Proposes Tightening Rule On Borrowing According to filings with the SEC on January 3,...
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...
FINRA v. JAMS – What’s the Difference?
Two Arbitration Processes – JAMS & FINRA There are two possible arbitration processes used to litigate disputes, FINRA or JAMS, ...
