Industry Report: Report from FINRA Board of Governors Meeting – December 2017

Written By Brandon Klerk

FINRA’s Board of Governors approved several rule proposals to be published by FINRA for comment or filed with the SEC during the December, 2007 Board Meeting, including:

  • Enhancing the audit trail for Treasury securities transactions

  • Facilitating capital formation

  • Strengthening investor-protection requirements in FINRA’s suitability rule

  • Streamlining restrictions on registered individuals’ outside business activities and private securities transactions

  • Aligning communications and research rules with the FAIR Act

  • Setting fees for the new Securities Industry Essentials examination.

Read the press release here: https://www.finra.org/newsroom/2017/report-finra-board-governors-meeting-december-2017

Brandon Klerk https://www.halyardcompliance.com
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