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The Financial Regulatory Authority (FINRA) recently issued a detailed report on compliance issues noted in its examination program.

FINRA Issues Reminder Relating To Mark-Up Disclosure Requirements For Structured Notes

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The Financial Regulatory Authority (FINRA) recently issued a detailed report on compliance issues noted in its examination program.In this <a href="https://media2.mofo.com/v3/assets/blt5775cc69c999c255/blta3426964e5d5f4a9/627314560d4d8e1d7f10f1f2/210217-finra-issues-reminder.pdf" target="_blank">alert</a>, we discuss FINRA’s observations relating to Rule 2232, which requires broker-dealers to provide additional transaction-related information to retail customers for certain types of trades in debt securities, and the market for structured notes.

FINRA Issues Reminder Relating To Mark-Up Disclosure Requirements For Structured Notes