In a comment letter to Finra, FSI Executive Vice President and General Counsel David Bellaire says the regulator should conduct a cost and benefit review of the proposed rule when assessing its merit.
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Industry Group Skeptical Over Proposed BrokerCheck Rule
The Financial Services Institute remains unconvinced that a rule proposal by the Financial Industry Regulatory Authority that would require brokers’ websites to have links to the BrokerCheck database will result in increased use of the service. So reports WealthManagement.
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