Finra develops searchable rulebook to help brokerages navigate compliance
How well the system works will depend on the quality of the taxonomy, a compliance expert said.
Finra is trying to help brokerages get a better handle on compliance by making its rulebook easier to delve into online.
The Financial Industry Regulatory Authority Inc. announced last week that it has kicked off a machine-readable rulebook initiative. The broker-dealer self-regulator has classif
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