TITLE

BANKS AND BROKERS AND BRICKS AND CLICKS: AN EVALUATION OF FINRA'S PROPOSAL TO MODIFY THE "BANK BROKER-DEALER RULE."

AUTHOR(S)
Gross, Jill I.; Pekarek, Edward
PUB. DATE
May 2010
SOURCE
Albany Law Review;2010, Vol. 73 Issue 2, p465
SOURCE TYPE
Academic Journal
DOC. TYPE
Article
ABSTRACT
The article reviews the U.S. National Association of Securities Dealers (NASD) Rule 2350, a modified bank broker-dealer policy suggested by the U.S. Financial Industry Regulatory Authority (FINRA). FINRA explains that the suggested modification defends bank customers who are harassed for buying investment products and services to a limited period. The article concludes that the content of the suggested modified rule is not enough to defend investors and public interest from fraud and manipulation by criminals.
ACCESSION #
54020823

 

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