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Recruiters Divided over Compensation Disclosure Rules

By Mindy Diamond, WealthManagment.com - FINRA is once again putting the topic of broker recruitment packages on the table.  According to a notice the regulatory organization posted to its site yesterday, next month’s Board meeting will include consideration of a rule change that would require brokers to disclose details of their recruitment compensation packages to their clients if they were to move from one firm to another.

By Mindy Diamond

FINRA is once again putting the topic of broker recruitment packages on the table.  According to a notice the regulatory organization posted to its site yesterday, next month’s Board meeting will include consideration of a rule change that would require brokers to disclose details of their recruitment compensation packages to their clients if they were to move from one firm to another. Read more…

 

 

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