What Can Investment Professionals Learn From the Titanic?

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In recent remarks at the Insured Retirement Institute Government, Legal and Regulatory Conference, FINRA’s head of Regulatory Policy, Thomas M. Selman, made a novel comparison between the sinking of the “Titanic” and financial industry oversight. Selman used the famous disaster, which largely could have been prevented, as a cautionary tale for brokers and advisers with three valuable lessons:

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DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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