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Spots Underscore the Ease and Importance of BrokerCheck Before You Invest The Financial Industry Regulatory Authority (FINRA) today launched a national ad campaign promoting BrokerCheck (brokercheck.finra.org), FINRA’s free online tool that allows investors to access information about every broker’s employment history, certifications and licenses, as well as regulatory actions, violations or complaints made against them. […]
Ryan Bakhtiari has been invited to participate as a speaker at the 2014 FINRA Annual Conference program on Monday, May 19, 2014 titled “Arbitration, Expungement and Arbitrator Disclosure.” The FINRA Annual Conference is held between May 19, 2014 and May 21, 2014 at the Renaissance Washington, DC Hotel. The conference brings together legal and compliance professionals, with […]
The Financial Industry Regulatory Authority (FINRA) announced today that its Board of Governors approved amendments to FINRA’s supervision rule that would expand the obligations of firms to check the background of applicants for registration, including first-time applications as well as transfers, to verify the accuracy and completeness of the information contained in an applicant’s Form […]
Finra chairman and CEO Richard G. Ketchum said the regulator is no longer interested in expanding its oversight to financial advisers. Mr. Ketchum told the Wall Street Journal on Thursday, “We are not pursuing it at the present time.” “We don’t perceive any likelihood that it would be successful,” Mr. Ketchum told the WSJ, referring to […]
The Financial Industry Regulatory Authority (FINRA) announced today that its Board of Governors approved a rule proposal that would prohibit firms and associated persons from conditioning settlements of customer disputes on, or otherwise compensating customers for, an agreement not to oppose a request to expunge information from an associated person’s Central Registration Depository (CRD) record. […]