Securities Lawyer 101 l Brenda Hamilton

Securities Lawyer 101 l Brenda Hamilton

Monday, November 17, 2014

Why BrokerCheck is Overrated

Going Public LawyerSecurities Law Blog The Financial Industry Regulatory Authority s BrokerCheck is a free tool available to the public that provides some information about the professional backgrounds of brokerage firms and brokers currently or formerly registered with FINRA or a national securities exchange.  It provides similar information for current or former investment adviser firms and representatives. BrokerCheck information is derived from filings... Read MoreGoing Public Lawyer

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