Understanding FINRA Rule 4111 & Restricted Firms | CXG LLC
FINRA Rule 4111 - Making Misconduct More Expensive for Small Firms In an effort to further clamp down on firms who have a history of “serious misconduct, ”FINRA enacted Rule 4111 (the “Rule”) on January 1, 2022, which adds new restrictions to such member firms. Starting June 1, 2022, FINR...
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