As an example, Finra has hired Carlo di Florio, who was the former director of the Office of Compliance Inspections at the Security and Exchange Commission.
Estimated reading time: 0 minutes, 19 seconds
Finra Has Long-Term Plans to Gain Oversight of Advisors?
Recent executive appointments at the Financial Industry Regulatory Authority are fueling speculation that the regulator has its eyes set on the long-term goal of gaining regulatory authority over investment advisors. So reports FinancialAdvisor.
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