FINRA Reminds Firms of Upcoming Changes to BrokerCheck

more+
less-
more+
less-
Explore:  BrokerCheck FINRA

The Financial Industry Regulatory Authority has issued an information notice reminding member firms of changes to BrokerCheck it will implement on August 23 and the steps firms and individuals may take with respect to these changes prior to implementation.

Please see full alert below for more information.

LOADING PDF: If there are any problems, click here to download the file.

Topics:  BrokerCheck, FINRA

Published In: Administrative Agency Updates, Finance & Banking Updates, Securities Updates

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

© Katten Muchin Rosenman LLP | Attorney Advertising

Don't miss a thing! Build a custom news brief:

Read fresh new writing on compliance, cybersecurity, Dodd-Frank, whistleblowers, social media, hiring & firing, patent reform, the NLRB, Obamacare, the SEC…

…or whatever matters the most to you. Follow authors, firms, and topics on JD Supra.

Create your news brief now - it's free and easy »