Rule 1.71 – Pay Attention, It’s Now in Effect

  • Post category:Marketing

At the Kansas City Conference we discussed CFTC Rule 1.71, which among other things, applies to conflicts of interests within a brokerage operation.  That is to say that the “research” department and the “trading” desks must independently coexist.  The genesis of the rule really comes from the securities industry where research departments tout trade recommendations…...

The full article is available to active NIBA members only.

Please login or sign up to read the rest.
Log In Register