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FINRA Report on Broker-Dealer Management of Conflicts of Interest

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October 18, 2013
Client Alert

The Financial Industry Regulatory Authority, Inc. recently issued a report providing general observations, commentary and descriptions of effective practices in the area of broker-dealer firms’ conflicts management practices. Conflicts of interest are a FINRA and Securities and Exchange Commission priority and have been addressed through a variety of rulemaking, oversight and enforcement action efforts.

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