The proposed rule is intended to help safeguard clients against conflicts of interest that may arise when advisors change firms.
Estimated reading time: 0 minutes, 18 seconds
FINRA Continuing to Work on Recruitment Disclosure Requirement
The Financial Industry Regulatory Authority is continuing to evaluate if it should require brokerage firms to disclose incentives that are used to recruit advisors from competing firms, says Richard Ketchum, chairman of the organization. So reports Reuters.
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