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FINRA Board approves proposals to strengthen controls on high-risk brokers

12/05/2017(0)
The Financial Industry Regulatory Authority (FINRA) Board of Governors approved the next step in FINRA’s ongoing initiative to strengthen controls on brokers with a history of significant past misconduct ... Read More
stock-exchange-traders

New Rules on Reporting Brokers’ Dismissals to Begin Dec. 12

02/12/2015(0)
New rules significantly shorten the window of time brokerage firms have to report the details of a broker’s departure from their firm — an effort by securities regulators to ... Read More
Broker Cyprus TopFX