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Compliance Corner

Update on FINRA’s New Rep-Recruit Customer Notice Rule 2273. The Communication is in Exhibit B of the Notice. Recruitment of New Rep Disclosure – New FINRA Rule 2273 for Customer Notice Requirement (Includes a brief addendum regarding the Recruitment Compensation Disclosure Requirement under the new DOL Fiduciary Rule). 1) The role that possible conflicts of interest may have between the rep and the customer moving to the new firm in light of any financial incentives (i.e., recruitment bonuses or...2) Th...

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