October 17, 2017
Last week Finra CEO Robert Cook said the industry regulator wants to help shape an environment that’s encouraging to small broker-dealers. But many broker-dealers blamed Finra itself for creating a hostile climate for them. Do you think Finra is fair to small broker-dealers? Tell us why you feel this way in the comment section below.
|The regulator is fair to small brokers.|
|Finra isn't fair to small brokers.|
Arete Asset Management
|The Client - Finding and winning new clients||The Client - Client retention|
|The Client - ERISA plans/institutional management||The Client - Behavioral finance|