FINRA Regulatory Notice 10-25 Comment Letter

02. Aug, 2010 Comments Off

The Investment Program Association (“IPA”) responds to the request of the Financial Industry Regulatory Authority, Inc. (“FINRA”).  Where the IPA commends FINRA in its efforts to ensure the highest qualifications and educational standards of certain Operations Professionals as more fully described and discussed in Regulatory Notice 10-25 (“RN 10-25”), dated May 2010.  Additionally, the IPA also provided their comments in seeking clarification on the impact of RN 10-25 on FINRA Rule 2310 Direct Participation Programs (“Rule 2310”).

  Finra Regulatory Notice 10-25 Comment Letter (206.5 KiB)

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