News & Advocacy
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ADISA Submits Comments on FINRA Notice 18-08
Apr 28, 2018, 00:00 AM by J FitzgeraldADISA recently submitted comments to FINRA’s office of the corporate secretary in response to FINRA’s Regulatory Notice 18-08, which seeks comments on proposed Rule 3290, which would replace current FINRA Rule 3270 (Outside Business Activities of Registered Persons) and FINRA Rule 3280 (Private Securities Transactions of Associated Persons).Full story -
ADISA Comments on California Assembly Bill No. 2529
Apr 13, 2018, 00:00 AM by J FitzgeraldFull story
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ADISA Submits Comments on FINRA Notice 18-08
Apr 28, 2018, 00:00 AM by J FitzgeraldADISA recently submitted comments to FINRA’s office of the corporate secretary in response to FINRA’s Regulatory Notice 18-08, which seeks comments on proposed Rule 3290, which would replace current FINRA Rule 3270 (Outside Business Activities of Registered Persons) and FINRA Rule 3280 (Private Securities Transactions of Associated Persons).Full story -
ADISA Comments on California Assembly Bill No. 2529
Apr 13, 2018, 00:00 AM by J FitzgeraldFull story