FINRA Rule 3240 Amendments: Key Updates and Implementation Considerations
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Pierson Ferdinand LLP
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FINRA Rule 3240 Amendments: Key Updates and Implementation Considerations
Pierson Ferdinand LLP
Pierson Ferdinand LLP
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31
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29
Fraud Detection
7
Operational Risk Management
8
Market Risk Management
3
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8
Compliance Training
10
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Cybersecurity
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Anti-Money Laundering (AML)
7
Credit Risk Management
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Back
FINRA has recently adopted significant changes to Rule 3240, tightening restrictions on borrowing and lending arrangements between registered persons and their customers.
Effective April 28, 2025, these changes will require substantial updates to your policies and procedures. It's crucial to start preparing now to ensure compliance. Find out what these changes mean for your firm and how to stay ahead.
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