Our recent client alert addresses FINRA’s updates regarding the August 2021 review of its members’ practices and controls related to the opening of options accounts and related areas, including account supervision, communications, and diligence.

Our recent client alert addresses FINRA’s updates regarding the August 2021 review of its members’ practices and controls related to the opening of options accounts and related areas, including account supervision, communications, and diligence.
Comments are closed.