Industry | 2009.06.22
Proposed Rules for Brokers May Remake Industry - Washington Post
| Proposed Rules for Brokers May Remake Industry Washington Post, United States US brokerages are subject to rules, inspections and fines by the Financial Industry Regulatory Authority, which is funded by securities firms and has executives from those firms on its board. Schapiro was chief executive of the group before becoming ... Plan on fiduciary standard wins praise The Fiduciary Battle Continues, Now Under Federal Microscope US planners on path to regulation |
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