Summary of FINRA Rules Effective in 2018

Written By Brandon Klerk

Financial Exploitation of Specified Adults (new FINRA Rule 2165) and Customer Account Information ( amended FINRA Rule 4512) – became effective February 5, 2018

FinCEN Customer Due Diligence Rule (CDD Rule) – effective on May 11, 2018

Customer Confirmation (Amendments to FINRA Rule 2232) – effective on May 14, 2018

Margin Requirements (Amendments to FINRA Rule 4210) – effective on June 25, 2018

https://www.finra.org/

Brandon Klerk https://www.halyardcompliance.com
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Industry Report: The SEC’s Office of Compliance Inspections and Examinations (OCIE) annouces its 2018 examination priorities.