Regulative Notice 17-27, which provided assistance for companies that have been affected by Hurricane Harvey by detailing treatments for pertinent regulative and compliance problems, such as “emergency workplace moving, continuing education requirements, signed up workers took part in active military responsibility, regulative filings, business connection strategies, and customer interactions.”.
In the podcast, FINRA also kept in mind the release of its New Account Application design template and reported the elections and consultations of numerous brand-new Governors. FINRA also indicated its Quarterly Disciplinary Review Podcast, which was launched on August 16, 2017, and in-depth examples of members’ misbehavior for the previous 3 months.