15 transformational events: Finra brings all brokers under one roof

in 2013, Investment News, Newsmakers, School of Law, Tamar Frankel
June 23rd, 2013

frankel-2010Investment News
Tamar Frankel, School of Law

The creation of the Financial Industry Regulatory Authority Inc. in 2007 brought all brokers under the same regulatory roof, achieving a breakthrough for market self-policing…

Expert quote:

“It is built on its membership. Whenever brokers really care [about an issue], and Finra goes against them, they will trump Finra.”

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