Finra's BrokerCheck and the SEC's databases would display the same information on dual-registered investment advisors beginning June 20 under a new rule proposal. Finra’s board of directors approved ...

Brokers will soon have to present clients with a link to FINRA's database containing information about their background and disciplinary history. Processing Content The SEC has approved FINRA's ...

David P. Meyer, the new president of the national trade group of lawyers who represent investors in fraud cases, is already advancing an ambitious agenda of pro-investor lobbying against what he says ...

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, ...

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 ...

The discord over incomplete information in FINRA s BrokerCheck service is reaching a new level as the SEC s Investor Advisory Committee is nearing a vote this month on a proposal to build its own ...

The brokerage industry self-regulator proposes displaying SEC data in its own BrokerCheck database, a change that would make it easier for investors to find complete information about dually ...