Broker-Dealers Call for End to Regulation by Enforcement June 26, 2017 | by Rita Raagas De Ramos | Financial Advisor IQ Executives at broker-dealer firms speaking at a compliance trends panel during Finra’s annual conference last month were united in calling for an end to regulation by enforcement. In its place they want succinct, clear, tell-it-as-it-is guidelines. “We’d…
June 28, 2017






