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within Intellectual Property, International Law, Litigation and Mediation & Arbitration topic(s)
FINRA is seeking comments on a review of the provision
of
FINRA Rule 3110 that requires registered persons to attend an
annual compliance meeting or interview at which compliance matters
specific to the individual are discussed. Attendance may be either
in person or through "electronic means" (e.g.,
through a video conference or webcast). FINRA is soliciting
feedback on, among other things, the economic impact of the rule,
the compliance challenges of in-person versus electronic
attendance, and the efficacy of the rule generally.
Comments must be received by June 25, 2018.
The content of this article is intended to provide a general
guide to the subject matter. Specialist advice should be sought
about your specific circumstances.
