FINRA Discipline: FINRA Rule 9242

FINRA Discipline: FINRA Rule 9242 Posted on Thursday, January 12, 2017 at 9:20 AM From the Desk of Jim Eccleston at Eccleston Law LLC: This is the fourteenth in a series of posts to discuss the rules associated with the FINRA disciplinary process. FINRA Rule 9242 covers the requirement that parties furnish certain information prior to a hearing.Read the full article