FINRA seeks ability to publicize complaints

03/24/2013 | InvestmentNews (free registration)

A Financial Industry Regulatory Authority proposal released last week for comment by the Securities and Exchange Commission would allow FINRA to publicize its monthly notices of disciplinary actions as well as its online reporting system in an effort to highlight pending regulatory complaints. The change would bring FINRA's policy closer to that of the SEC. However, some industry experts worry that the differing nature of the organizations make the changes a bad fit for FINRA.

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