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FINRA Seeks to Beef-Up Use of BrokerCheck

13
Feb

FINRA Seeks to Beef-Up Use of BrokerCheck

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February 13, 2014 By Trevor Hunnicutt Investmentnews.com Finra on Thursday advanced a revised proposal that would require brokerage firms to include a link on their websites and other online communications to BrokerCheck, the database that includes broker disciplinary records. The Financial Industry Regulatory Authority Inc. would require brokerage firms to display links to BrokerCheck, “on ...

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