Forbes, Jessica; Gnall, Gregory P. - In: Journal of Investment Compliance 11 (2010) 2, pp. 42-45
Purpose – The purpose of this paper is to explain three new rules FINRA has proposed as part of the process of developing a consolidated rulebook: Rules 4314 (Securities Loans and Borrowings), Rule 4330 (Customer Protection – Permissible Use of Customer Securities), and Rule 4340 (Callable...
