FINRA Proposal Would Require Contemporaneous Records of Certain Unsolicited Customer Order Information | Practical Law

FINRA Proposal Would Require Contemporaneous Records of Certain Unsolicited Customer Order Information | Practical Law

An update on a proposed rule change by FINRA that would require members to create a contemporaneous record of certain customer and order information when they intend to rely on the unsolicited customer order exemption of Exchange Act Rule 15c2-11.

FINRA Proposal Would Require Contemporaneous Records of Certain Unsolicited Customer Order Information

by PLC Corporate & Securities
Published on 07 May 2009 • USA (National/Federal)
An update on a proposed rule change by FINRA that would require members to create a contemporaneous record of certain customer and order information when they intend to rely on the unsolicited customer order exemption of Exchange Act Rule 15c2-11.