FINRA Archives - The Industry Spread

Data Protection in CAT Explained

October 31, 2019

Data Protection note to broker/dealers that they will not be sending social security numbers to the CAT, but have a multi step system in place that FINRA CAT will be building so that the broker/dealers will be dealing in some hashing.

New Best Interest Standard Discussed

October 18, 2019

A broker acting in their client’s best interest may seem easy enough, but the new Securities and Exchange Commission (SEC) rule takes over one thousand pages to spell this out.