Changes to Form U-4 and U-5 and BrokerCheckPaul McCurdy
On the one hand, the results of the research emphasize the importance of consumers doing effective due diligence using tools like FINRA BrokerCheck or seeking out services that “vet” advisors on their behalf (i.e., find advisors and brokers with clean regulatory records), and cast a positive...
Changes to Form U-4 and U-5 and BrokerCheckFINRA Regulatory Notice