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FINRA Updates Rule 8312 to Enhance BrokerCheck Transparency

September 6, 2024

What Are the Changes to FINRA Rule 8312? The Financial Industry Regulatory Authority (FINRA) has recently introduced amendments to Rule 8312, impacting how information is presented on BrokerCheck. Effective June 1, 2023, these changes will provide investors with clearer insights into whether a broker or member firm is currently designated as a “Restricted Firm” under […]

Importance of Checking Out your Stockbroker on BrokerCheck

August 28, 2024

Investing in the stock market can be a rewarding venture. However, it’s crucial to ensure that your investments are in safe hands. This is where the importance of a stockbroker background check comes in. It’s a vital part of due diligence before entrusting your hard-earned money to a broker. One of the most reliable tools […]