FINRA proposes rules calling for more disclosure

03/6/2009 | Wall Street Journal, The

The Financial Industry Regulatory Authority has proposed a rule change that would require brokerages to disclose more information about misconduct by brokers. The proposal would also raise the threshold for complaints that must be disclosed to $15,000 from $10,000. SIFMA has argued that the level should be raised to $25,000 because of increased costs to firms.

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Wall Street Journal, The

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