Finra’s new exam unit looking to identify rogue registered reps
The self-regulatory organization is planning to investigate 100 to 200 brokers who pose the greatest risk to investors.
Finra's new dedicated exam unit that keeps track of high risk or recidivist brokers is working to identify as many as 100 to 200 rogue registered reps who pose the greatest risk to investors, according a senior official with the broker-dealer regulator.
Based in the Financial Industry Regulatory Au
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