Rick Ketchum, CEO of FINRA, said that the regulator will make recommendations at its July board meeting on a proposed rule to require brokers to publicly disclose the compensation they receive when switching firms.

He did not disclose the content of those recommendations in his comments, made during FINRA’s annual conference in Washington DC.

Register or login for access to this item and much more

All On Wall Street content is archived after seven days.

Community members receive:
  • All recent and archived articles
  • Conference offers and updates
  • A full menu of enewsletter options
  • Web seminars, white papers, ebooks

Don't have an account? Register for Free Unlimited Access