Regulatory Alerts2025-03-12 | Regulatory Notice 25-04Added · Updated
FINRA Launches Broad Review to Modernize Rules Regarding Member Firms and Associated Persons
FINRA has extended the comment period for its broad regulatory modernization review to June 11, 2025. The review targets rules applicable to member firms and associated persons, with initial focus areas identified as capital formation and the modern workplace. FINRA requests comments on specific rules, guidance, and interactions with non-FINRA requirements that may create unnecessary burdens or hinder innovation.
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