Robert Cook on FINRA Forward, and More
Jun 17, 2025•23 min•Ep. 174
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Episode description
FINRA Forward—New Initiatives to Support Members, Markets, and the Investors They Serve
Request for Comment on Capital Formation Rules, Guidance and Processes
Request for Comment on Modern Workplace Rules, Guidance and Processes
Request for Comment on Associated Persons’ Outside Activities
Statement to Correct Misinformation About Outside Activities Proposal
Broad Review to Modernize Rules Regarding Member Firms and Associated Persons
Proposed Rule Change to Modify the Implementation Schedule Regarding Corporate Financing Fees
Proposed Rule Change on Transaction Reporting
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