Transcription of 18-16 - finra.org
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18-16 - finra.org
Regulatory Notice 18-16 . High-Risk Brokers April 30, 2018. finra Requests Comment on finra Rule Amendments Notice Type Relating to High-Risk Brokers and the Firms That 00 Request for Comment Employ Them Suggested Routing Comment Period Expires: June 29, 2018 00 Compliance 00 Legal Summary 00 Operations 00 Registered Representatives finra seeks comment on proposed rule amendments that would impose additional restrictions on member firms that employ brokers with a history of 00 Senior Management significant past misconduct . These brokers, while relatively small in number, may present heightened risk of harm to investors, and any misconduct by Key Topics them also may undermine confidence in the securities markets as a whole. 00 BrokerCheck Disclosure The rule proposals would strengthen the existing controls, some of which are highlighted below, finra has applied to such brokers to further promote 00 Disciplinary Proceedings 00 Eligibility Proceedings investor protection and market integrity.
Current Programs As discussed further below, FINRA strives to prevent and deter misconduct by member firms and the individuals they hire through a number of different measures.
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