BrokerCheck Link Rule Approved
The SEC last week approved a Finra rule requiring links to the BrokerCheck disciplinary database be included on the websites of broker-dealers, registered reps and branch offices. Under the plan, […]
The SEC last week approved a Finra rule requiring links to the BrokerCheck disciplinary database be included on the websites of broker-dealers, registered reps and branch offices. Under the plan, […]
FINRA began accepting applications to appear on the ballot to fill two open seats on the Small Firm Advisory Board (SFAB), one in each of the following regions: Northern Region […]
FINRA has begun accepting applications to appear on the ballot to fill open seats on its 11 District Committees nationwide. Full term positions on the District Committees will serve until […]
On June 19, 2015, FINRA released regulatory notice 15-23. This notice provides firms with more flexibility for advisors to send in third party checks based on new rules. Prior to […]
Finra has advanced a rule that would require brokerage firms to include links from their websites to a public database containing background information on their brokers. The Financial Industry Regulatory […]
Last June, the Virginia Securities Division adopted the rule requiring firms to disclose agent compensation at the time of the solicitation and on the confirmation. Our members were concerned that the rule […]
FSI is committed to advocating for its members on the federal and state levels. We’ve written a lot about the Department of Labor’s redefinition of ‘fiduciary’ rule, the importance of advisors’ […]
On April 30, 2014, in an effort to drive more traffic to BrokerCheck and make investors aware of the information included in BrokerCheck, FINRA re-proposed a rule that would require […]
In late January of last year, FINRA filed a proposed rule change to update items related to per-share estimated valuations for public unlisted direct participation program (DPP) and public unlisted […]
We are pleased to note that for the second year in a row, Investment Advisor magazine released the results of its 2014 B-D Presidents Poll, and we were most cited […]