The Securities Litigation Expert Blog

Finra Warns on Stealth Streaming at Hearings

Posted by Jack Duval

Nov 28, 2012 2:49:13 AM

InvestmentNews reported yesterday that Finra is planning to warn members about electronic eavesdropping, real time streaming and other forms of surveillance at hearings.  (IN)

This behavior was first reported to Finra by the Securities Expert Roundtable.  (Full disclosure: I am a member of the Securities Expert Roundtable.)

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Topics: FINRA, litigation, Securities Expert Roundtable, Compliance

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