Showing posts from 2014

BrokerCheck disclosures expanded to "Permanently" include any investment-related settlement with a state or foreign financial regulatory authority.

Should Broker's exam scores and failures be added to BrokerCheck?

Current and former employees of financial institutions can anonymously file Whistleblower claims and may be entitled to rewards.

FINRA approves new expungement rule.

FINRA to Prohibit Practice of Conditioning Settlements on Investor’s Agreement not to Oppose Expungement