The Risks in Background Checks
Current Trends in FCRA Litigation - The Consumer Finance Podcast
AGG Talks: Background Screening - Ban the Box and Fair Chance Hiring Laws: The Year in Review
AGG Talks: Background Screening - Redaction of Identifiers by the Courts Update, Breaking News from California
AGG Talks: Background Screening - Redaction of Identifiers by the Courts in Michigan and California Pose Challenges for Background Checks
SEC Proposes to Enhance Protections and Preserve Choice for Retail Investors in Their Relationships with Investment Professionals - On April 18, the Securities and Exchange Commission voted to propose a package of...more
On April 16, the Securities and Exchange Commission (“SEC“) unveiled a public service announcement (“PSA“) to encourage investors to check the background of their investment professional by using the free search tool on...more
The New York City Council recently passed two amendments to the New York City Human Rights Law that are likely to substantially affect the manner in which firms in New York City may evaluate the qualifications and background...more
In This Issue: - SEC Proposes Rule Requiring Hedging Disclosure - SEC Reports the Result of its Cybersecurity Sweep of Broker-Dealers and Investment Advisers - House Passes Bill to Ease Volcker Rule and Other...more
Recently, the SEC approved FINRA’s proposed new Rule 3110(e) relating to background investigations of registered persons. FINRA Rule 3110(e), which replaces NASD Rule 3010(e) and goes into effect on July 1, 2015, streamlines...more