4 Big FINRA Rule Changes in 2021
November 30, 2021 by Melanie Waddell
Robert Cook, president and CEO of the Financial Industry Regulatory Authority, said recently that the broker-dealer self-regulator is “focused on updating our rule book to reflect what we’ve learned during COVID” and is mulling an update to its complex product rules.
In 2021, the broker-dealer regulator has adopted new rules intended to crack down on risks posed by broker-dealers with a significant history of misconduct and to impose more stringent continuing education requirements.
See the gallery above for four rules adopted or changed by FINRA in 2021.