Updated Thursday, August 28, 2014 as of 9:08 AM ET

Email This Article

Under Pressure, FINRA Moves to Expand Advisor Background Checks

Kenneth Corbin

FINRA is moving to toughen reporting requirements for BrokerCheck, following revelations that hundreds of registered advisors have failed to publicly disclose personal bankruptcies, criminal charges and other potentially damaging information.

Login for Registered Users:

Log in below to email an article:

The August Issue is now online!


TWITTER
FACEBOOK
LINKEDIN

Industry Events

September 9, 2014 |

September 17, 2014 |

September 17, 2014 | Chicago, IL

September 20, 2014 |

September 28, 2014 |

Already a subscriber? Log in here