Posts tagged retail accounts.
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FINRA Sweep Exam on Compensation Conflicts

FINRA this week released its targeted exam letter requesting information on firms' conflict-of-interest policies surrounding broker compensation and retail accounts. The sweep follows up on FINRA's Conflicts Report from October 2013, which recommended changes to firm supervision and oversight of conflicts of interest. The letter requests extensive categories of information covering retail accounts during the period from August 2014 through July 2015. FINRA seeks information about firm policies and procedures to:

  • Identify and manage conflicts;
  • Surveillance of ...
Posted in: FINRA
Tags: broker compensation, burr forman, conflict-of-interest policies, finra, FINRA Conflicts Report, FINRA Sweep Exam on Compensation Conflicts, retail accounts, rule 2243, securities litigation, targeted exam letter
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