Search engine (e.g., Google, Yahoo) Brokerage account statement Other *10.What prompted your visit to FINRA BrokerCheck today? Looking to see what information is available about a broker or firm Conducting a background check on a broker or firm ...
With FINRA's BrokerCheck, you can find out: If an advisor or the firm is registered What has been disclosed to regulators About an advisor's past experience What an advisor or firm is qualified to do Search for an advisor's name or our parent company, "Merrill Lynch". You are leaving...
Financial Industry Regulatory Authority (FINRA) to amend FINRA Rule 8312 in a bid to retain and make publicly available in BrokerCheck certain information about former associated members of a member who were the subject of a final regulatory action....
On the plus side, the good news is thatlast year FINRA did overhaul the BrokerCheck interface for consumers, making it easier to search for brokers and discover important regulatory disclosures about prior discipline and misconduct. And effective June 6 of 2016,FINRA Rule 2210 on communication wit...
FINRA Beefs Up BrokerCheck.The article reports on the features added by the U.S. Financial Industry Regulatory Authority to its BrokerCheck system, a research tool used to help investors check the background of brokers and brokerages.EBSCO_bspCompliance Reporter...
FINRA Eyes BrokerCheck Dispute Process.The article reports on the plan of the U.S. Financial Industry Regulatory Authority (FINRA) to formalize the dispute process on the BrokerCheck online system.BeesonEdwardCompliance Reporter
The article focuses on potential plans for expanding the Financial Industry Regulatory Authority's (FINRA) BrokerCheck system. Industry professionals object to these plans, particularly to the idea of releasing their scores in qualification exams. At present, BrokerCheck provides such information as ...
According to the Financial Industry Regulatory Authority (FINRA), only 15% of investors check their advisor's credentials, leaving the rest vulnerable to fraud or at the mercy of those who lack experience. It states that such checks should be done annually, looking into their advisor's work ...
Financial Industry Regulatory Authority (FINRA) to limit the scope of plans to link websites and social media pages to BrokerCheck, saying that the proposal would create compliance problems. The regulator has proposed amending Rule 2267 to require members to include a prominent description of and ...
How to Check Out A Broker On-Line.The article reviews several web sites for broker information including the Financial Industry Regulatory Authority (FINRA) web site, the Securities Investor Protection Corp. (SIPC) web site and Keynote website....