FINRA: BrokerCheck rule expanded
The SEC recently approved a rule change that will make the disciplinary records of former brokers permanently available through the Financial Industry Regulatory Authority Inc.'s BrokerCheck.
The SEC recently approved a rule change that will make the disciplinary records of former brokers permanently available through the Financial Industry Regulatory Authority Inc.’s BrokerCheck. Under previous rules, brokers’ records generally became unavailable to the public two years after they left the securities industry. For more information, visit sec.gov/rules/sro/finra/2009/34-61002.pdf.
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