FINRA: Proposal pushes expansion of broker records
Investors would gain greater access to brokers' disciplinary records under a proposal floated recently by the Financial Industry Regulatory Authority Inc.
Investors would gain greater access to brokers’ disciplinary records under a proposal floated recently by the Financial Industry Regulatory Authority Inc. Among other provisions, the proposed rule changes would increase the number of customer complaints reported publicly and extend the public disclosure period for the full record of a broker who left the industry from two to 10 years. For more details, go here.
