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Text of FINRA Report on Conflicts of Interest for Broker-Dealers (PDF)
Financial Industry Regulatory Authority [FINRA] 
[Guidance Overview] Oct. 14, 2013 44 pages. Excerpt: "[This] report identifies effective practices that FINRA observed at firms or that, based on experience and analysis, FINRA believes could help firms improve their conflicts management practices. It also contains more general observations and commentary on firms' practices that we share for the industry's information. FINRA recognizes that the effective practices and observations in this report are drawn from discussions with large firms and, as a result, will not in all cases be directly applicable to small firms. This report is a point-in-time review of several facets of conflicts of interest." MORE >> |
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