Client Alert

The Financial Industry Regulatory Authority, Inc. recently issued a revised proposal to consolidate its rules governing markups, markdowns, commissions and fees. FINRA originally published a rule proposal in March 2011 that would consolidate and materially revise several NASD and NYSE rules. In response to comments received, FINRA is now proposing several changes to the revised proposal. This Client Alert focuses on differences from the original proposal.

We have always been focused on finance.

  • 1913
    TS Chapman partners with Henry Cutler to form Chapman and Cutler
  • 1st
    Chapman's first client in 1913 is still a client of the firm today
  • 22
    Diverse financial practices serving regional, national, and global clients
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    Offices across the country and in key US financial centers

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