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Bridge over ocean
1 December 2014 Comment Letter

Comment Letter to FINRA on Comprehensive Automated Risk Data System

  1. Linda Rittenhouse, JD
  2. James Allen, CFA

CFA Institute supports the investor protection objective of FINRA's proposed comprehensive automated risk data system (CARDS), while questioning the timing of implementation.

CFA Institute supports the investor protection objective of FINRA's proposed comprehensive automated risk data system (CARDS), while questioning the timing of implementation, in light of the Securities and Exchange Commission's mandated consolidated audit trail (CAT), both of which are labor and cost intensive.

View Comment Letter