Securities Lawyer 101 l Brenda Hamilton

Securities Lawyer 101 l Brenda Hamilton

Friday, May 2, 2014

FINRA Members to Investigate FINRA U-4 Applicants

Securities Lawyer 101 Blog FINRA approved a new rule that require member firms to verify the accuracy of information provided by prospective applicants on FINRA U-4 applications.  Additionally, FINRA will review public financial records for all re...
http://www.securitieslawyer101.com/finra-u-4/

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