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FINRA Seeks Feedback

FINRA's comprehensive review, FINRA360 Initiative, was developed as an "audit" of all the self-regulator's operations and programs.

Now that the initiative is in full-swing, FINRA is seeking feedback from it's member firms. They're specifically looking for feedback on rules regarding activities outside the regular course of business.

The rules were establised to protect investors, as well as firms, from potentially risky activities by firm employees outside of regular work business. 

FINRA is seeking feedback on this particular set of rules to determine if they are addressing the issues as intended.

Read the full article.


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Monday, 22 May 2017 09:05

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