Does FINRA have expectations with respect to a firms monitoring of concentrated positions within an individual customer account and across all accounts?
Related Questions
- Does FINRA have expectations with respect to a firms monitoring of concentrated positions within an individual customer account and across all accounts?
- What expectations does NSF have for oversight and monitoring of awards particularly with respect to financial accountability and research ethics?
- Can I solicit customer accounts once my firm submits the Form U-4 and fees for me to FINRA, but before my registration becomes effective?
