Document Type

Article

Publication Title

PIABA Bar Journal

Publication Date

2017

Volume

24

First Page

435

Abstract

Supervision is a cornerstone of broker-dealer regulation. It serves a number of important goals: primarily ensuring that the firms follow the governing rules and regulations so that investors can have confidence in the firms with which they do business. Unfortunately, FINRA supervision rules often do not set out specifically how a firm is to supervise its brokers. This article will set forth the general supervision rules governing brokerage firms, as well as the rules that govern specific behavior and conflicts.

Comments

Available at: https://ssrn.com/abstract=3179131

Reprinted with the permission of Public Investors Arbitration Bar Association (PIABA).

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