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In the Media
Forbes (March 5, 2014 9:17 am) -- If you hired a broker to manage your finances or buy securities, wouldn’t you want to know if they were honest?You can’t always know a broker’s complete background.…
PIABA Says BrokerCheck Is Missing Key Data and Needs Fixingsacarbitration.com (March 5, 2014) -- PIABA issued a press release and report on Thursday, charging that FINRA’s BrokerCheck® system…
Broker Due Diligence – Changes and Criticism of FINRA’s BrokerCheckMSA Investigations (May 5, 2014 8:40 am) --The Financial Industry Regulatory Authority (FINRA), Wall Street’s independent and non-…
Finra approves rule to redefine public arbitrators, by Mason BraswellRegulator will send a proposal to the SEC that could limit those with industry ties from serving on panelsInvestmentNews (Feb 13,…
InvestmentNews.com (Febraury 13, 2014 11:28 am) -- Finra on Thursday advanced a revised proposal that would require brokerage firms to include a link on their websites and other online communications…
The Wall Street Journal (February 11, 2014 3:52 pm) -- Wall Street's self-regulator is planning new, tighter restrictions on the use of brokerage industry insiders as arbitrators in investors'…
Proposal would draw a bright line to exclude those with industry tiesInvestmentNews (February 11, 2014 1:57 pm) -- The Financial Industry Regulatory Authority Inc. is making a move to further limit…
AvidTrader (February 11, 2014 1:57 pm) -- The Financial Industry Regulatory Authority Inc. is making a move to further limit Wall Street veterans' ability to serve as public arbitrators, according…
thetrustadvisor.com (posted by Steven Maimes January 26, 2014) -- The brokerage industry's self-regulator plans to seek a ban on settlements of damage claims by clients against brokers that include a…
Business Insider (January 24, 2014 5:02 pm) -- After the S&P 500 returned 30% in 2013, many expect the stock market to see a correction this year. For those antsy investors looking for safe haven…