Wednesday, June 11, 2014
BrokerCheck disclosures expanded to "Permanently" include any investment-related settlement with a state or foreign financial regulatory authority.
FINRA will soon permanently make publicly available in BrokerCheck, information about former associated persons of a FINRA member firm who were registered on or after August 16, 1999, and who have been the subject of an investment-related civil action brought by a state or foreign financial regulatory authority that was dismissed pursuant to a settlement agreement. See FINRA Regulatory Notice 14-08. The amendments are effective June 23, 2014.
Posted by Law Offices of Brent A. Burns, LLC at 3:18 PM