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Posts Tagged ‘transparency within FINRA’

Forbes’ Emily Lambert Slams FINRA

Posted by Larry Doyle on October 21st, 2011 7:00 AM |

“Justice is truth in action.” ~ Benjamin Disraeli

Regular readers are very aware of my strong concerns about the lack of transparency emanating from Wall Street’s self-regulatory organization FINRA (Financial Industry Regulatory Authority). Having first written about FINRA in January 2009, I have highlighted my concerns extensively over the better part of the last three years. (To reference my writing, go here, Sense on Cents/FINRA).

For a period of time, I thought I was shouting into the darkness regarding FINRA. I still maintain that FINRA specifically and Wall Street regulation as a whole remain great unknowns to an overwhelming percentage of our population including those involved in the markets. To this end, I am heartened when broadly distributed public periodicals address concerns I have held about FINRA for the last few years.

The widely respected financial magazine Forbes weighs in on FINRA just yesterday.  (more…)






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