Revised FINRA Customer Confirmation Rule Takes Effect

Withers LLP logo

Approved by the SEC, the Amendments to the Financial Industry Regulatory Authority's Customer Confirmation Rule 2232 (the "Amended FINRA Rules") took effect on May 12, 2018.

United States Corporate/Commercial Law

Photo of Flora Tsui

To print this article, all you need is to be registered or login on Mondaq.com.

The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.

Your Author LinkedIn Connections SIMILAR READS Powered By Mondaq AI

FINRA Updates Its Frequently Asked Questions On New Mark-Up And Mark-Down Disclosure Rules For Transactions In Fixed Income Securities

United States Commercial Morrison & Foerster LLP

FINRA Publishes "Frequently Asked Questions" On New Pricing Disclosure Rules For Securities Confirmations