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Proposed Rules Aimed at High-Risk Brokers Confirm FINRA Push for Firms to “Do Their Part”
William E. Goydan · Nicholas J. Giles · Subject to Inquiry · Published June 23, 2017
Work details
- author
- William E. Goydan · Nicholas J. Giles
- firm or organization
- McGuireWoods LLP
- publication
- Subject to Inquiry
- practice area
- Banking, Finance and Securities
- published
- 2017-06-23
Citation
William E. Goydan, Nicholas J. Giles, Proposed Rules Aimed at High-Risk Brokers Confirm FINRA Push for Firms to “Do Their Part”, Subject to Inquiry (June 23, 2017) [The Library at LexBlog, LEX-WK-9RC4E3XZ, lexpid.org/9RC4E3XZ]