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Broker-dealers can do more to avoid conflicts: FINRA

The Financial Industry Regulatory Authority issued a report this week aimed at helping broker-dealers better avoid conflicts of interest.

By Paula Aven Gladych | Updated on October 16, 2013

The Financial Industry Regulatory Authority issued a report this week aimed at helping broker-dealers better avoid conflicts of interest. The report never mentions the fiduciary standard but all of the elements of complying with it are there.

“While many firms have made progress in improving the way they manage conflicts, our review reveals that firms should do more,” FINRA Chairman and CEO Richard G. Ketchum said in a statement.

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