The comment period for the Finra proposal is closed. “Now all eyes are on Finra to see what they’ll do and if they’ll put investor protection interests first and let this horrific rule die,” Stoltmann said.
Finra Proposal Would Unleash Rogue Brokers, Association Warns
October 4, 2018
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This article was VERY SLANTED and made it sound as if ALL outside activity did not have to be reported. About the only activity that did not have to be reported was the Registered Investment Adviser activity. This activity is overseen by the various state securities regulators or the SEC. The inference of the article was that this activity was not overseen by a regulator at all. It is totally wrong and misleading. Throw Tracy Longo's articles in the trash so they are "Longo" gone!