Posted on July 8th, 2009 No comments
Guidance posted Mondayby the Financial Industry Regulatory Authority, or Finra, about how to comply with the so-called Red Flags Rule means it expects adherence from the onset. The rule will be a likely focus of upcoming Finra examinations and sweeps, say compliance consultants.
Originally posted here:
COMPLIANCE WATCH: Red Flags Rule Will Be A Finra Priority