Daily Archives: December 3, 2012

Why FINRA’s Pending Bonus Disclosure Rule is Important

FINRA, the broker-dealer’s self-regulatory agency, is considering a new set of rules that would include forcing brokers to disclose bonuses they receive for jumping firms. It is a not too uncommon practice for a broker with a major wirehouse (let’s say Merrill or Morgan Stanley or JP Morgan) to take their clients to a different […]

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