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With FINRA's BrokerCheck, you can find out: If an advisor or the firm is registered What has been disclosed to regulators About an advisor's past experience What an advisor or firm is qualified to do Search for an advisor's name or our parent company, "Merrill Lynch". You are leaving...
Securities and Exchange Commission (SEC) to the amendments made to the National Association of Securities Dealers' (NASD) Interpretive Material 8310-2 (IM-8310-2), governing the release of information through NASD BrokerCheck. NASD is also making BrokerCheck more user-friendly and improving its ...
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The article focuses on the mutual fund services in the U.S. Broadridge Financial Solutions Inc. provides online services to the fund companies for helping them to track the distribution of their funds. The three modules of the broker adaptations include a revenue manager, a sales manager and a...
Securities and Exchange Commission on the Financial Industry Regulatory Authority to consider accommodating public requests to further expand the information that will be disclosed permanently on its BrokerCheck Web site.EBSCO_bspCompliance Reporter
FINRA Beefs Up BrokerCheck.The article reports on the features added by the U.S. Financial Industry Regulatory Authority to its BrokerCheck system, a research tool used to help investors check the background of brokers and brokerages.EBSCO_bspCompliance Reporter...
The article focuses on potential plans for expanding the Financial Industry Regulatory Authority's (FINRA) BrokerCheck system. Industry professionals object to these plans, particularly to the idea of releasing their scores in qualification exams. At present, BrokerCheck provides such information as ...
FINRA Eyes BrokerCheck Dispute Process.The article reports on the plan of the U.S. Financial Industry Regulatory Authority (FINRA) to formalize the dispute process on the BrokerCheck online system.BeesonEdwardEBSCO_bspCompliance Reporter