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The SEC has signed off on proposed Finra rule changes aimed at better protecting investors from rogue brokers—or brokers with a history of misconduct.
Among the changes, Finra plans to adopt a rule that would impose new obligations on broker-dealer firms that are flagged as having higher levels of risk-related disclosures—including regulatory actions and customer disputes—than other firms of similar size. Finra is the self-regulatory organization of the brokerage industry.
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