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Apr 15, 2024 · Investment Adviser Public Disclosure (IAPD) Search your investment professional's background. Enter their name in our Investment Adviser Public Disclosure (IAPD) website to see if they're registered. It's a red flag if they're not! You can also check out whether they’ve ever been in trouble with securities regulators.
3 days ago · Transparency is an essential element of fair and open markets. But in a rapidly evolving landscape, it can be challenging to keep up with the latest regulatory reporting requirements. FINRA helps broker-dealers stay up to date with these requirements, making regulatory compliance easier. We employ advanced technology to monitor financial markets and regulated firms, keeping pace with the ...
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Apr 16, 2024 · Paragraph Reference Latest Notices, Guidance and Alerts GuidanceRSL Eligibility Requirements and Conditions GuidanceFrequently Asked Questions about Residential Supervisory Locations (RSLs) PodcastFighting Financial Exploitation: FINRA’s Vulnerable Adults and Seniors TeamApr 30, 2024 Information NoticeInformation Notice 05/01/24New Rate for Fees Paid Under Section 31 of the Exchange Act May ...
Apr 22, 2024 · Membership in FINRA requires a significant commitment, including compliance with numerous safeguards designed to protect investors and the integrity of the securities markets. Here are a few aspects of what it means to be regulated by FINRA. Comprehensive Admissions Process for Member Firms. Before a broker-dealer can do business with the ...
3 days ago · General Securities Representatives. Some registration categories are obvious – a person has functions of supervision, solicitation or conduct of business in securities or who are engaged in the training of persons associated with a member for any of these functions must register as general securities representatives. (See Rule 1031).
May 2, 2024 · Form U-4 is a registration form that registered representatives and investment advisor representatives must file with the Financial Industry Regulatory Authority when they apply for or renew their registration with FINRA member firms. The form is also known as the “Uniform Application for Securities Industry Registration or Transfer.”
Apr 26, 2024 · FINRA’s BrokerCheck allows clients to search for and vet both broker-dealers and registered investment advisor (RIA) firms. FINRA: Basics and Brief History The Financial Industry Regulatory Authority (FINRA) is a non-profit regulatory agency based in Washington, D.C. that oversees the actions and operations of broker-dealers , brokerages, and ...
