FINRA pledges more vigorous enforcement while at the same time dropping an information submission requirement for brokers from the controversial proposed data-collection program known as CARDS.
FINRA Vows Tougher Oversight, Drops CARDS Data Submission Requirement
To continue, please sign in or become a member.
Join the Financial Planning
MEMBERSHIP IS FREE
- Access to essential information that independent advisors need to make informed decisions
- Exclusive E-Newsletters delivering the latest headlines to your inbox
- Access to white papers, web seminars, blogs, discussion boards, and CE exams
Have an account?
SIGN IN HERE