Updated Tuesday, September 2, 2014 as of 2:48 AM ET

FINRA Looks to Ease Burden on Small Firms

WASHINGTON -- A top official with FINRA's regulatory division says she appreciates the compliance challenges that firms -- particularly small ones -- are facing, and looks ahead to a more flexible oversight regime that will be less of a drain on a practice's resources.

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Comments (2)
About time!
Posted by John J | Tuesday, June 10 2014 at 9:53PM ET
About time!
Posted by John J | Tuesday, June 10 2014 at 9:53PM ET
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