Client Alert

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

17 Feb 2021

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

In this alert, 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.

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