Updated Monday, April 21, 2014 as of 10:48 AM ET
Practice - Regulatory/Compliance
FINRA Moves to Limit BrokerCheck Expungements
Friday, February 14, 2014
Print
Email
Reprints

FINRA's board of governors on Thursday approved a rule proposal that would impose new limits on financial advisors' ability to remove information about customer disputes from BrokerCheck, the regulator's online portal where investors can find information about a registrant's legal, regulatory and disciplinary history.

Get access to this article and thousands more...

All Financial Planning articles are archived after 7 days. REGISTER NOW for unlimited access to all recently archived articles, as well as thousands of searchable stories. Registered Members also gain access to exclusive industry white paper downloads, web seminars, blog discussions, the iPad App, CE Exams, and conference discounts. Qualified members may also choose to receive our free monthly magazine and any of our daily or weekly e-newsletters covering the latest breaking news, opinions from industry leaders, developing trends and growth strategies.

Already Registered?

Lists
Advisors on the Move: Cambridge Snags $500 Million Team

Current Issue

The April Issue is now online!


TWITTER
FACEBOOK
LINKEDIN
Already a subscriber? Log in here