FINRA Approves Proposals to Strengthen Controls on High-Risk Brokers
by JOHN D'ANTONA JR.
In an ongoing mandate to protect investors, the Financial Industry Regulatory Authority (FINRA) Board of Governors approved the next step in FINRA's ongoing initiative to strengthen controls on brokers with a history of significant past misconduct and to ensure greater accountability for firms that choose to employ high-risk brokers.
from TradersMagazine
by JOHN D'ANTONA JR.
In an ongoing mandate to protect investors, the Financial Industry Regulatory Authority (FINRA) Board of Governors approved the next step in FINRA's ongoing initiative to strengthen controls on brokers with a history of significant past misconduct and to ensure greater accountability for firms that choose to employ high-risk brokers.
from TradersMagazine