Critics say Finra proposal to rein in rogues falls short
January 13, 2021 by Mark Schoeff Jr.
A Finra proposal to rein in brokerages that have a history of violations or hire a number of registered representatives with disciplinary actions has drawn criticism for not going far enough to curb rogue brokers.
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Originally Posted at InvestmentNews on January 8, 2021 by Mark Schoeff Jr..
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