WASHINGTON -- A top official with FINRA's regulatory division says she appreciates the compliance challenges that firms -- particularly small ones -- are facing, and looks ahead to a more flexible oversight regime that will be less of a drain on a practice's resources.
Susan Axelrod, FINRA's executive vice president of regulatory operations, recently expressed sympathy for small brokerage shops struggling to navigate the rules that FINRA has been pushing out, while looking ahead to new regulations coming down the road, such as the CARDS data-collection program.
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