As an example, Finra has hired Carlo di Florio, who was the former director of the Office of Compliance Inspections at the Security and Exchange Commission.
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Recent executive appointments at the Financial Industry Regulatory Authority are fueling speculation that the regulator has its eyes set on the long-term goal of gaining regulatory authority over investment advisors. So reports FinancialAdvisor.
As an example, Finra has hired Carlo di Florio, who was the former director of the Office of Compliance Inspections at the Security and Exchange Commission.