Frequently Asked Questions Regarding

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Frequently Asked Questions Regarding FINRA Rule 2273 ...
Background. In March 2016, the SEC approved the adoption of FINRA Rule 2273 (Educational Communication Related to Recruitment Practices and Account Transfers). 1 Rule 2273 establishes an obligation to deliver an educational communication in connection with member firm recruitment practices and account transfers. Specifically, Rule 2273 requires delivery of a FINRA-created educational ...
Frequently asked Questions regarding Protection Orders
Frequently asked Questions regarding Protection Orders What is a Protection Order? A "Protection Order," sometimes referred to as a "Restraining Order," is a court order issued under the
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SUPERSEDED CONTENT: This content has been superseded by Compliance and Disclosure Interpretations, Non-GAAP Financial Measures, issued January 2010. Frequently Asked Questions Regarding the Use of Non-GAAP Financial Measures. Prepared by Staff Members in the Division of Corporation Finance, U.S. Securities and Exchange Commission, Washington, D.C.

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