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More Scrutiny Allowed by FINRA

FINRA’s board of governors approved a rule proposal on Thursday, February 14, that would impose new limits on financial advisors’ ability to remove information about customer disputes from BrokerCheck, the regulator’s online portal where investors...

Will Regulatory Screws Loosen in 2014?

By: Joe Adler, OnWallStreet.com An interesting excerpt from the December 27 article: “Bankers have almost become used to the intense growth of new rules in the five years since the financial crisis, but some see a light at the end of the tunnel as the agencies inch...