Friday, February 19, 2010

Finra Cracks Down On Arbitrator Credentials

According to Financial Advisor Magazine, FINRA is plugging a loophole that has allowed many of its 6,200 arbitrators to serve on its panels without first checking their credentials. According to the article, FINRA began background verification of arbitrators in October 2003. However, the bona fides of those who had joined its ranks before then were not checked—until now. More>>>

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