Free Site Registration

Brokerage Sales Data Sought as Finra Seeks Smarter Surveillance

Traders Magazine Online News, October 1, 2014

Dave Michaels

The biggest U.S. brokerages would have to give regulators monthly data on trades and commissions as part of a new surveillance system being designed to protect investors against abuses.

Get access to this article and thousands more...

All articles are archived after 7 days. REGISTER NOW for unlimited access to all recently archived articles, as well as thousands of searchable stories. Registered Members also gain access to exclusive industry white paper downloads, web seminars, online technology directory, the iPad App, and conference discounts. Qualified members may also choose to receive our free monthly magazine and any of our e-newsletters covering the latest breaking news, opinions from industry leaders, developing trends and trading strategies.

Already Registered?