New FINRA Rule for Background Checks, Effective July 1, 2015

What’s Happening: Regulators are focused on transparency. Not just in the markets, but in the relationship between firms, reps, and the client. FINRA’s pricey BrokerCheck ad campaign is designed to ensure investors know the background of their reps. Regulators have also been increasing public disclosure requirements. FINRA recently proposed a rule requiring brokerage firms to include… READ MORE