Broker- Dealer Law Corner

Broker- Dealer Law Corner

Tag Archives: high-risk firm

FINRA Is Going After “High-Risk” Firms, But First Has To Invent The Definition Of High-Risk

Posted in FINRA, heightened supervision, High-Risk firms, Rogue rep
I told you two weeks ago in my blog post that this would happen. I told you that when Robert Cook announced the topics to be taken up at the February/March FINRA Board meeting in Boca Raton, he slipped and used the new phrase “high-risk firms.” Well, in yesterday’s announcement about what actually took place… Continue Reading
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