15 transformational events: Finra brings all brokers under one roof

Category: Investment News

15 transformational events: Finra brings all brokers under one roof

Investment 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 […]