Financial Services Institute: OneVoice 2014
Building a constructive relationship with regulators
January 28, 2014 @ 12:15 am
Financial Services Institute President and CEO Dale Brown sounds off on his group's wish list from FINRA, including a fairer arbitration process, clearer examinations and greater transparency in how they govern themselves.
The Financial Services Institute's annual broker-dealer conference, taking place January 27-29 in Washington, D.C.