FINRA Suitability Rule at Forefront of Group's Reg Agenda
Additionally, FINRA expressed concerns about the increase in the use of software to produce automated investment advice, margin-lending practices and firms' policies for supervising branch offices.
FINRA also warned of market disruptions caused by algorithmic trading, high-frequency trading and alternative trading systems, signaling that it plans to closely monitor firms engaging in those practices in 2013.
