Securities and Exchange Commission (SEC) to the amendments made to the National Association of Securities Dealers' (NASD) Interpretive Material 8310-2 (IM-8310-2), governing the release of information through NASD BrokerCheck. NASD is also making BrokerCheck more user-friendly and improving its ...
and find safe haven in a subset of brokerage firms that appear to have cultures that are ‘unusually’ permissive of broker misconduct - combined withthe fact that the SEC improperly allows those brokers to hold out as "financial advisors" in the first place- raises the question of whether...
Securities and Exchange Commission on the Financial Industry Regulatory Authority to consider accommodating public requests to further expand the information that will be disclosed permanently on its BrokerCheck Web site.EBSCO_bspCompliance Reporter