Finra Increases Scrutiny of Brokers’ WhatsApp Use
Taken from: Original By: Miriam Rozen A crackdown on clandestine messaging by traders and dealmakers on Wall Street appears to coincide with a string of WhatsApp enforcement actions in the brokerage industry from the Financial Industry Regulatory Authority. Finra this year alone has sought sanctions three times–against a brokerage, and two brokers at separate firms–because of […]
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