Is FINRA considering publishing registered brokers' Series 7 licensing scores in an effort to increase disclosure to investors?
That's what Robin Traxler, vice president of legislative affairs at the Financial Services Institute, reportedly recently told a room full of brokers at the Financial Advisor Summit.
What would that mean for registered investment advisors?
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Nick Thornton
Nick Thornton is a financial writer covering retirement and health care issues for BenefitsPRO and ALM Media. He greatly enjoys learning from the vast minds in the legal, academic, advisory and money management communities when covering the retirement space. He's also written on international marketing trends, financial institution risk management, defense and energy issues, the restaurant industry in New York City, surfing, cigars, rum, travel, and fishing. When not writing, he's pushing into some land or water.
