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Browse: Home / 2014 / May / 16 / Financial regulators don’t agree on Wall Street mea culpas — Reuters

Financial regulators don’t agree on Wall Street mea culpas — Reuters

By Securities Docket on May 16, 2014, 11:35 am

Wall Street’s self-funded regulator has not been swayed by the U.S. Securities and Exchange Commission’s new policy that some industry wrongdoers should admit to their bad behavior.

That may be good for brokers and firms who are targets of the Financial Industry Regulatory Authority’s enforcement actions, but it does not please some investor advocates.

via COMPLY-Financial regulators don’t agree on Wall Street mea culpas — Reuters

Posted in Industry, Top | Tagged Admissions, FINRA

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