Saturday, January 3, 2015
What Is FINRA Rule 6490? Securities Lawyer 101
Securities Lawyer 101 Blog Significant changes to FINRA Rule 6490 were enacted in September 2010. Though FINRA's principal mandate is to regulate broker-dealers, historically it has always exercised some oversight of the over-the-counter markets...
http://www.securitieslawyer101.com/2012/rule-6490/
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