Burr & Forman

FINRA

11.30.2015

The Link to FINRA BrokerCheck

The Securities and Exchange Commission recently approved a rule change to amend FINRA Rule 2210 to require broker-dealers to include a "readily apparent reference and…

11.5.2015 | Kip A. Nesmith

FINRA’s Cancelled CARDS

A little over one year ago, the Financial Industry Regulatory Authority (FINRA) announced a proposal to increase substantially its collection of brokerage data. That proposal,…