FINRA Tells Broker-Dealers How to Better Manage Conflicts of Interest

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A much-anticipated FINRA report concludes that broker-dealers must do more to manage conflicts of interest.

FINRA said that the report, published on October 14, 2013, highlights “effective conflicts management practices that may go beyond current regulatory requirements and identify potential problem areas,” according to the statement of FINRA CEO Rick Ketchum.

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