If you want your hard-earned money to work for you, then you want to make sure you put it in the right hands. FINRA BrokerCheck helps you determine if you can trust a particular person who is managing ...

Securities Lawyers at the Soreide Law Group (1-888-760-6552) have announced a FINRA brokercheck tool to help individuals determine whether or not their financial advisor has a past history of ...

Finra is considering giving up its proprietary lock on BrokerCheck data, paving the way for a higher level of scrutiny of brokers' disciplinary information, observers said. The Financial Industry ...

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

The Securities and Exchange Commission approved Monday the Financial Industry Regulatory Authority's plan to reduce from 15 days to three the release of disclosure information filed on Form U5 through ...

FINRA regulates brokers, ensuring they're licensed and their products are suitable and honest. It processes 37 billion transactions daily to monitor for fraud and protect investors. Investors can ...

Over the past several years, the Financial Industry Regulatory Authority, Inc. (FINRA) has sought to deepen retail investors' awareness of its BrokerCheck public disclosure system by issuing a series ...

The Financial Industry Regulatory Authority (FINRA) has withdrawn its proposed rule with the SEC that would have required advisors using social media to post a link to BrokerCheck on social media ...