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FINRA Needs to Crack Down on Bad Brokers: U.S. Senator

Friday, Nov 01 2013
Regulatory & Compliance
Written by  PFA News

Sen. Edward J. Markey (D-Mass) is urging the Financial Industry Regulatory Authority to better police brokers and to make enhancements to the organization’s BrokerCheck database. So reports InvestorProtection.

The database has recently been criticized because brokers are frequently able to have information on disciplinary actions stricken from their records.

Read the full article from InvestorProtection.

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