According to reports, if given the chance to talk to the new Finra chief Robert W. Cook, financial advisers would tell
Mr. Cook, a former director of the Securities and Exchange Commission’s Division of Trading and Markets, recently announced he is launching a “listening tour” to talk to “investors, regulators, policymakers, a cross-section of
The same report indicated that advisors would like FINRA to strengthen adviser credentials. All of these steps would be welcomed as FINRA’s enforcement function remains an important one.
The foregoing information has been provided by The White Law Group, a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida.
Last modified: October 7, 2016