Earlier this week Financial Planning reported on a request for comment FINRA sent around, seeking input regarding some changes it is weighing with respect to BrokerCheck. FINRA is considering including the reason for a broker’s termination as well as scores on industry qualification exams, and also asked for input on whether or not it should provide BrokerCheck information to for-profit companies. The proposed changes prompted a swift and strong response from readers, as can be seen in the discussion board excerpts below. To join the discussion, click here. The original FINRA notice can be found here.
Register or login for access to this item and much more
All Financial Planning content is archived after seven days.
Community members receive:
- All recent and archived articles
- Conference offers and updates
- A full menu of enewsletter options
- Web seminars, white papers, ebooks
Already have an account? Log In
Don't have an account? Register for Free Unlimited Access