While many brokers breathed a sigh of relief when FINRA withdrew its proposal requiring members to include a “prominent description of and link to” BrokerCheck on their websites and social
Continue Reading So What Do You Need To Do With BrokerCheck
BrokerCheck
Did You Hear That FINRA May Force BDs To Wear A Scarlet Letter?
Much like the character in the famous Nathaniel Hawthorne story, FINRA is looking force broker-dealers to wear a mark on all of their social media. FINRA wants to amend Rule…
Continue Reading Did You Hear That FINRA May Force BDs To Wear A Scarlet Letter?
Avoid Being FINRA’s Poster-Child For An Enhanced BrokerCheck
FINRA has filed with the SEC proposed rule changes that are intended to facilitate greater consumer access to BrokerCheck. Assuming that these proposals become reality, you better take a fresh…
Continue Reading Avoid Being FINRA’s Poster-Child For An Enhanced BrokerCheck
FINRA Seeks Expansion At A Time Of Contraction
Chairman Ketchum is seeking new areas of growth for FINRA. At FINRA’s annual meeting, Ketchum stated that he wanted to see FINRA take on the role as regulator for both retail professionals…
Continue Reading FINRA Seeks Expansion At A Time Of Contraction
FINRA Rolls Out An Enhanced BrokerCheck
In its January 2011 study, the SEC recommended the enhancement of BrokerCheck, a resource available on FINRA’s web page for the public to review information pertaining to brokers, registered representatives…
BrokerCheck Expansion, The Good, The Bad And The Worst
BrokerCheck is a publicly available tool that FINRA offers for the public to learn about member-firms and their registered representatives. Over the years, the information available to the public has…
Continue Reading BrokerCheck Expansion, The Good, The Bad And The Worst