FINRA focuses on private placements

08/30/2013 | Reuters

The Financial Industry Regulatory Authority has had eight cases appear in its disciplinary database relating to private placements this month. "It's a ripe area where there's a potential for a lot of harm," said FINRA's enforcement head, J. Bradley Bennett. Recent rule changes have made it easier for FINRA to police wrongdoing, Bennett said. Register today for SIFMA's 2013 Annual Meeting to hear FINRA executives discuss their priorities in 2014 to protect investors and ensure market integrity.

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