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The SEC Approves new Designation on FINRA’s BrokerCheck of “Restricted Firm” According to reports this week, the...
FINRA Denies Expungement Request of Ex-Broker Kathleen J. Tarr According to reports, former independent broker Kathleen J. Tarr’s bid...
All financial advisors working for broker-dealers are registered with FINRA (Financial Industry Regulatory Authority). FINRA BrokerCheck...
The Financial Industry Regulatory Authority (FINRA) recently announced that it is seeking authority to significantly expand the amount of...