The Financial Regulatory Authority (FINRA) has proposed an important potential change to a rule that relates to what information the general investing public can find out about stockbrokers and other financial professionals. Currently, the public can obtain only an incomplete disciplinary record on a stockbroker either by contacting their state securities regulator (a state-by-state listing can be found , or by logging onto the FINRA website .
Continue reading "Background Check On Financial Advisors May Be Improved" »
