Two U.S. senators press Wall Street watchdog on process for erasing broker records | Business Information & News | Westlaw

Two U.S. senators press Wall Street watchdog on process for erasing broker records | Business Information & News | Westlaw

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12/17/13 REUTERS 13:03:49
REUTERS
Copyright © 2013 Thomson Reuters
December 17, 2013
Two U.S. senators press Wall Street watchdog on process for erasing broker records
Suzanne Barlyn
(Reuters) - Two U.S. senators want Wall Street's industry-funded watchdog to clarify and strengthen standards for allowing stock brokers to wipe details about investor complaints from their public disclosure records, according to a letter dated...
---- Index References ----
Company: FINANCIAL INDUSTRY REGULATORY AUTHORITY INC
News Subject: (Regulatory Affairs (1RE51); Arbitration & Mediation (1AR68); Securities Law (1SE59); Funding Instruments (1FU41))
Industry: (Personal & Institutional Investing (1PE62); Financial Services (1FI37); Legal Services Regulatory (1LE16); Investment Management (1IN34); Financial Services Regulatory (1FI03); Securities Investment (1SE57); Accounting, Consulting & Legal Services (1AC73); Legal Services (1LE31))
Language: EN
Other Indexing: (Kevin Lamarque; Linda Feinberg; Jack Reed; Richard Ketchum; Chuck Grassley)
Keywords: banking; securities (MCC:f); (N2:US); (N2:FIN); (N2:FINS); (N2:AMERS); (subj:04000000); (subj:04006000); (N2:USA); (a1312cat:f); (MCCL:OEC)
Word Count: 525
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