Updated Wednesday, May 22, 2013 as of 12:54 AM ET
Practice - Regulatory/Compliance
FINRA Suitability Rule at Forefront of Group's Reg Agenda
by: Kenneth Corbin
Monday, January 14, 2013
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Additionally, FINRA expressed concerns about the increase in the use of software to produce automated investment advice, margin-lending practices and firms' policies for supervising branch offices.

FINRA also warned of market disruptions caused by algorithmic trading, high-frequency trading and alternative trading systems, signaling that it plans to closely monitor firms engaging in those practices in 2013.

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