Senator Warren Seeks Update on Reigning in Broker Misconduct
- Friday, 13 May 2016
- Regulatory & Compliance
In the aftermath of a BrokerCheck study that concluded 1 in 13 advisors have tainted histories, Senator Elizabeth Warren (D-Mass.) is asking the Financial Industry Regulatory Authority to disclose plans for curtailing broker misconduct. So reports ThinkAdvisor. Read more...
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