FINRA Proposes Technical Updates For Consolidated Rulebook

CW
Cadwalader, Wickersham & Taft LLP

Contributor

Cadwalader, established in 1792, serves a diverse client base, including many of the world's leading financial institutions, funds and corporations. With offices in the United States and Europe, Cadwalader offers legal representation in antitrust, banking, corporate finance, corporate governance, executive compensation, financial restructuring, intellectual property, litigation, mergers and acquisitions, private equity, private wealth, real estate, regulation, securitization, structured finance, tax and white collar defense.
FINRA proposed updates to cross-references and other non-substantive changes to certain FINRA Rules as part of its ongoing development of a Consolidated Rulebook.
United States Finance and Banking
To print this article, all you need is to be registered or login on Mondaq.com.

FINRA proposed updates to cross-references and other non-substantive changes to certain FINRA Rules as part of its ongoing development of a Consolidated Rulebook. The proposed amendments to several FINRA Rules would update cross-references in order to conform them to the newly adopted consolidated FINRA Rule 3210 ("Accounts At Other Broker-Dealers and Financial Institutions"). In addition, FINRA proposed making several other non-substantive technical changes. The amendments, which FINRA filed for immediate effectiveness, will be implemented as of March 20, 2017.

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.

See More Popular Content From

Mondaq uses cookies on this website. By using our website you agree to our use of cookies as set out in our Privacy Policy.

Learn More