FINRA is not giving up on its initiative to require firms to include a link to its BrokerCheck database on web sites, social media pages or any other online communications. “We withdrew it not because ...

FINRA has quietly and quickly won approval for a rule that lets brokers keep their private addresses off the online BrokerCheck database with a simple check of a box. Processing Content With the lapse ...

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

Brokers' disciplinary records will be available online to the public even if they leave the securities industry, a regulatory organization said Tuesday. The Financial Industry Regulatory Authority, ...