JANUARY 2017
The letter discusses FINRA paying particular attention to firms’ hiring and monitoring of high-risk and recidivist brokers, following the evidence from our work.
DECEMBER 2016
The report discusses steps taken by the regulators in monitoring of high-risk and recidivist brokers, following the evidence from our work.
SEPTEMBER 2016
The document discusses compliance oversight and controls of investment advisers with high risk of misconduct, discussing and based on our work.
MAY 2016
The letter discusses misconduct among financial advisers and the labor market consequences citing our work.
MARCH 2016
Senator Warren uses our paper to discuss regulatory steps taken by FINRA chairman to address misconduct in the market of financial advisers.