TITLE

TRAINING, FINRA-STYLE

AUTHOR(S)
Hall, Alison
PUB. DATE
March 2008
SOURCE
Financial & Insurance Meetings;Mar/Apr2008, Vol. 44 Issue 2, p9
SOURCE TYPE
Trade Publication
DOC. TYPE
Interview
ABSTRACT
An interview with Maribel Gerstner, an expert on Financial Industry Regulatory Industry (FINRA), is presented. When asked to whom the FINRA rules apply, Gerstner says that it applies to banks and broker/dealers who sell securities products and are registered with the FINRA. She claims that the rules serve to guide firms to avoid influencing a person to sell products that might not be good for a customer. Gerstner adds that before a firm can create a FINRA-compliance meeting, different, interrelated rules have to be considered.
ACCESSION #
31422718

 

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