TITLE

FINBA's Push for Greater Broker Oversight

AUTHOR(S)
Barack, Lauren
PUB. DATE
June 2009
SOURCE
On Wall Street;Jun2009, Vol. 19 Issue 6, p32
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
The article reports that Financial Industry Regulatory Authority (FINRA) is proposing to make the disciplinary records of brokers permanently available to the public on its BrockerCheck site. According to the 2009 FINRA rule 8312, it states that data about a broker who leaves his job or is stripped of his license must be deleted after two years from the time the broker left his job. The petition was made to the U.S. Securities and Exchange Commission (SEC) in April 2009 to remove the time limit on a broker's information to remain on the site.
ACCESSION #
44235030

 

Related Articles

Share

Read the Article

Courtesy of THE LIBRARY OF VIRGINIA

Sorry, but this item is not currently available from your library.

Try another library?
Sign out of this library

Other Topics