After postponing discussion on the plan in July, the regulator has added consideration of an “updated proposal” to its
FINRA declined to add any additional clarification around what had been updated.
The original version, Regulatory Notice 13-02, was put out for comment in January. It sought to force advisors who are switching firms to disclose to clients any upfront bonuses and other incentive offers they receive that are greater than
The notice, which was out for comment until
In July, a spokeswoman for the regulator said that the discussion was postponed because of “scheduling issues.”
At the time,
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