FINRA Announces Sweeps on Sales Practicies

Sep 10, 2007

  1. Mr. Bill
    Offline

    Mr. Bill Guru

    Posts:
    2,045
    Likes Received:
    9
    With respect to JMO, thanks for posting the link. Although this seems to apply to securities-licensed people, that is for now. FINRA wants it all, baby!

    Here's the link:

    FINRA - Press Room - News Release - 9/10/07

    Those of us "good agents" have all heard the horror stories. Me, I witnessed one last week at a recruiting meeting. Seriously, how'd that woman pass her exam????
     
    Mr. Bill, Sep 10, 2007
    #1
  2. James
    Offline

    James Guru

    Posts:
    2,152
    Likes Received:
    0
    Some suggest a major exodus of those holding Securities License, many are going the IA or Insurance route. Last thing we need is FINRA or whatever they are calling themselves now, involved in Insurance. :arghh:
     
    James, Sep 11, 2007
    #2
Loading...