FINRA Takes Aim at High-Risk Brokers with New Proposals, Controls
Posted: Thu May 11, 2017 7:06 am
The Financial Industry Regulatory Authority (FINRA), the largest independent regulatory authority in the US, has had its Board of Governors move forward with an initiative to strengthen controls on brokers with suspect histories or patterns of misconduct, helping foster a greater level of accountability and also police the industry, according to regulatory filing.
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FINRA has engaged in an ongoing agenda to more appropriately hold high-risk brokers to account, whilst also shoring up controls for brokers that have not adequately followed rules or regulations outlined by the regulator. ... (read more)