Five Regulatory Concerns Keeping Compliance Busy

Five Regulatory Concerns Keeping Compliance Busy

At FINRA’s annual conference on Monday, FINRA Member Relations Chip Jones sat down with several compliance and risk officers at major broker/dealers, talking about some of the top concerns they have regarding the current regulatory landscape and upcoming rules.

WealthManagement.com is covering the FINRA annual conference in Washington, D.C., live. Click here for more coverage [3].