The Financial Industry Regulatory Authority has narrowed its search for a new head of its arbitration unit to two of its own long-time officials, according to a person familiar with the matter.
Financial Industry Regulatory Authority
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FINRA, in its oversight powers, is contemplating the imposition of a requirement of having insurance to cover payouts should the brokerage firm fail.
FINRA will be submitting to the SEC a process to clear broker's records.
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