SRO’s proposal to revive its arbitration program for dealers raises important questions about the limits of its authority over members
Should individuals be subject to full reviews by both dealers and regulators?
The industry needs to rethink how it uses this powerful term
Whole branch departures are likely a thing of the past
The right of clients to receive continued service at a high level should be the paramount concern
Investors are free to decline its recommendations, but not brokerages or mutual fund dealers