FINRA’s Coming Database, S&P and Moody’s

FINRA’s Coming Database, S&P and Moody’s

Dear Mr. Berko: My brother-in-law, who is a longtime human resources officer with a New York Stock Exchange brokerage, told me that the Financial Industry Regulatory Authority is establishing a new database to improve regulatory enforcement. This database will include information about all Americans’ brokerage accounts, their personal financial information and the details of every…

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