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Our Take Blog

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Our Take Blog
FINRA Survey Shows Investors Want More Regulation 

FINRA Survey Shows Investors Want More Regulation 

FINRA released the results of a survey it conducted which indicates that a majority of investors would support additional regulatory protections even if it meant an increase in costs to them.  FINRA reports that 74% of those surveyed would support additional protection when cost was not a factor.  The survey also shows support for a regulatory regime designed to detect unsuitable recommendations, conflicts of interest, and risky strategies.  FINRA surveyed 1000 adults with at least $10,000 in securities investments.

OUR TAKE: Don’t expect the regulators to call a cease-fire in continuing the recent trend of more regulation and enforcement.

http://www.finra.org/Newsroom/NewsReleases/2014/P601548

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