Slide 2 of 10
Rogue brokers
FINRA plans new measures to crack down on rogue brokers and other rule-breakers. The regulator says it will "devote particular attention" to firms' hiring and supervisory practices, and create an examination unit dedicated to identifying bad brokers.

Firms that hire large numbers of brokers with disciplinary records will come under additional scrutiny. Furthermore, FINRA says it will pay close attention to how firms supervise branches, and particularly independent advisers.