Securities Lawyer 101 l Brenda Hamilton

Securities Lawyer 101 l Brenda Hamilton

Friday, May 2, 2014

FINRA Members to Investigate 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 Form U4.  Additionally, FINRA will review public financial records for all registered repres...
http://www.securitieslawyer101.com/finra-u4/

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