FINRA information notice
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  • FINRA New Review Process – Broker Background Checks


    June 7, 2018 Comments (0) Blog

    FINRA will conduct a public records search within 15 days of an applicant’s Form U4 filing. According to the Financial Industry Regulatory Authority (FINRA), the regulator’s new public records disclosure review process will begin on July 9 with financial advisor background checks. FINRA’s Information Notice,

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