FINRA’s Cook Wants to Stop Bad Actors

On Jan. 10, 2018, FINRA issued video of high-risk registered representative program.

  • Discussion with Mike Rufino, EVP, Head of FINRA Member Regulation,—Sales Practice.
  • Included overview of the program and criteria FINRA use to identify high-risk activity.
  • With tools and resources which are available to help firms perform their own reviews.