Broker-Dealer 2019 Regulatory Year in Review

Broker-Dealer 2019 Regulatory Year in Review | JD Supra

In 2019, broker-dealers did not have to contend with many significant new rules or amendments, but there was still plenty of regulatory activity. Here is a high-level summary of notable broker-dealer regulatory developments for 2019. Effective in 2019 FINRA Rule 4512 – Customer Account Information (Effective May 6, 2019) – Rule 4512(a)(3) was amended to permit the use of electronic signatures for discretionary accounts.