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Here's What Makes a Rep High Risk: FINRA
News May 30, 2024 at 03:10 PM
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What You Need To Know
- FINRA has a number of ways to spot risky brokers, including machine learning models.
- Warning signs could include client complaints, outside business activities or association with high-risk firms.
- Only a fraction of one percent of brokers are high risk, a FINRA official says.
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