Finra educates examiners on broker business models to improve oversight
September 25, 2018 by Mark Schoeff Jr.
One frequent complaint brokerages have about Finra exams is that the examiners don’t understand the business.
The regulator is addressing that lack of knowledge, said Bari Havlik, Finra executive vice president for membership supervision.
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Originally Posted at InvestmentNews on September 25, 2018 by Mark Schoeff Jr..
Categories: Industry Articles