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Posts Tagged with ”FINRA”

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NYC publishes interpretative enforcement guide concerning recent ban on applicant credit checks; includes stipulation for exemption of FINRA members

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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 publishes overview and expectations for CRD Public Records Validation initiative

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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

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