FINRA narrows scope of data collection for proposed system

The Financial Industry Regulatory Authority says it would not require companies to include sensitive client information when they submit trading data to the proposed Comprehensive Automated Risk Data System. FINRA says it would collect information on trades and assemble customer profiles based on the date of birth and investment objectives.

View Full Article in:

InvestmentNews (free registration) · ThinkAdvisor · WealthManagement.com (U.S.)

Published in Briefs: