FINRA publishes overview and expectations for CRD Public Records Validation initiative
In April 2014, FINRA announced that it would conduct a review of public records available for the entire population of active registered representatives for financial or criminal disclosures that may not have been reported. Read More
NYC publishes interpretative enforcement guide concerning recent ban on applicant credit checks; includes stipulation for exemption of FINRA members
The New York City Commission on Human Rights released the document concerning the Stop Credit Discrimination in Employment Act (“SCDEA”), which went into effect on September 3. Read More
FINRA Fingerprint Submission Timeline Temporarily Extended - March 25, 2020
FINRA'S fingerprint information submission timeline has been temporarily extended. Read More
Important Announcement for FINRA Firms
FINRA recently announced the outsourcing of their store and forward software, expected to go live in September, 2021. Read More
Important Information for FINRA Firm Clients
As you may have noticed, FINRA recently released additional details regarding upcoming changes to their fingerprinting process. Read More