The Financial Industry Regulatory Authority (FINRA) recently issued some expectations/guidance to industry members on FINRA’s expectations when a broker leaves for another firm....more
4/29/2019
/ Brokers ,
Confidential Information ,
Financial Industry Regulatory Authority (FINRA) ,
Former Employee ,
Intellectual Property Protection ,
Investment Firms ,
Investment Management ,
Misappropriation ,
New Guidance ,
Policies and Procedures ,
Trade Secrets