Finra set to strengthen background checks for new registered rep hires
July 11, 2018 by Mark Schoeff Jr.
Finra will soon step up its background checks on newly hired brokers.
Beginning Monday, the regulator will conduct a review of public financial records within 15 days of a brokerage submitting a registration application, known as a Form U4.
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Originally Posted at InvestmentNews on July 5, 2018 by Mark Schoeff Jr..
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