{"id":5658,"date":"2014-09-12T00:00:00","date_gmt":"2014-09-12T05:00:00","guid":{"rendered":"https:\/\/institutionalinvestorsecuritiesblog.blawgcloud.com\/2014\/09\/finra_headlines_sro_considers"},"modified":"2022-05-06T11:00:42","modified_gmt":"2022-05-06T16:00:42","slug":"finra-headlines-sro-considers","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/finra-headlines-sro-considers\/","title":{"rendered":"FINRA Headlines: SRO Considers Revised Broker Bonus Plan, To Discuss Potential Dark Pool Rules, May Instigate Civil Action Against Wells Fargo, &Warns Investors About Frontier Markets"},"content":{"rendered":"\n

FINRA to Revive Proposal Mandating that Brokers Disclose Recruitment Incentives<\/strong><\/p>\n

The Financial Industry Regulatory Authority has decided to revive a proposal that would obligate brokers to notify clients of any incentives they received for being recruited by another firm. The self-regulatory organization had withdrawn the rule in June after getting over 180 comment letters. <\/p>\n

Now, however, according to the agenda for FINRA\u2019s next board meeting, the SRO intends to look at a revised recruitment practices policy that would make the recruiting firms delineate their compensation packages to clients who are thinking of moving their assets from the a broker\u2019s previous firm to the financial representative\u2019s new firm. <\/p>\n

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

FINRA to Revive Proposal Mandating that Brokers Disclose Recruitment Incentives The Financial Industry Regulatory Authority has decided to revive a proposal that would obligate brokers to notify clients of any incentives they received for being recruited by another firm. The self-regulatory organization had withdrawn the rule in June after getting over 180 comment letters. Now, […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3739],"tags":[],"class_list":["post-5658","post","type-post","status-publish","format-standard","hentry","category-finra"],"yoast_head":"\nFINRA Headlines: SRO Considers Revised Broker Bonus Plan, To Discuss Potential Dark Pool Rules, May Instigate Civil Action Against Wells Fargo, &Warns Investors About Frontier Markets — Investor Lawyers Blog — September 12, 2014<\/title>\n<meta name=\"description\" content=\"FINRA to Revive Proposal Mandating that Brokers Disclose Recruitment Incentives The Financial Industry Regulatory Authority has decided to revive a — September 12, 2014\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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