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FINRA: Better Brokers Wrongdoing Reporting Needed

Friday, Jan 31 2014

Regulatory & Compliance

Written by PFA News

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The Financial Industry Regulatory Authority is lobbying to eliminate a provision that allows brokers to have wrongdoings removed from their records as a condition of settling consumer complaints. So reports Reuters.

FINRA Chairman and CEO Richard Ketchum has pitched the idea in a letter to Sens. Jack Reed (D-R.I.) and Charles Grassley (R-Iowa).

Read the full article from Reuters.

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