oct 1, 2012 - FINRA Conducts COI Sweep
Description:
FINRA has a self-described mandate to “protect investors and promote market integrity” among brokers within securities firms. This regulating body conducts regular sweeps. In 2012 for example, they targeted corporate approaches toward identifying and mitigating COI under the guise of “better understanding industry practices.”
Added to timeline:
Fiduciary Compliance
Date:
