{"id":1546,"date":"2014-11-11T18:56:40","date_gmt":"2014-11-11T18:56:40","guid":{"rendered":"https:\/\/www.stockbrokerfraudblog.com\/2014\/11\/survey_by_finra_shows_investor"},"modified":"2022-03-23T15:05:43","modified_gmt":"2022-03-23T20:05:43","slug":"survey-by-finra-shows-investor","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/survey-by-finra-shows-investor\/","title":{"rendered":"Survey by FINRA Shows Investors Want More Regulatory Protections"},"content":{"rendered":"

\t\t\t\tAccording to a Financial Industry Regulatory Authority-released survey of investors, 92% of participants believe that there needs to be a regulatory “cop” to protect investors. 94% said that regulators should use the latest technology and tools on the job. The survey is intended to evaluate how investors feel about regulatory protections. <\/p>\n

1,000 investors participated in the survey. Overall, said the self-regulatory organization, investors were in strong agreement that regulation and investor protections are key. The majority of investors also said that it is important that regulators detect when customers are sold unsuitable securities, if brokers are making trades to their benefit rather than that of investors, and when firms are taking risks that could hurt customers. 74% of those surveyed said they are in support of additional regulatory protections against broker misconduct. <\/p>\n

The Survey was conducted over several days last month. Respondents came from a nationally distributed online panel. They had to meet certain criteria: U.S. citizen, at least 21 years of age, with primary or shared responsibility in their home for investment choices, and at least $10,000 in securities investments. <\/p>\n

Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

According to a Financial Industry Regulatory Authority-released survey of investors, 92% of participants believe that there needs to be a regulatory “cop” to protect investors. 94% said that regulators should use the latest technology and tools on the job. 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