Understanding Public Disclosures on FINRA’s BrokerCheck

Understanding Public Disclosures on FINRA’s BrokerCheck Providing the public with relevant information about securities professionals and their firms is a central component behind BrokerCheck, a free tool administered by the Financial Industry Regulatory Authority, Inc. (“FINRA”). Over the past several years, FINRA has promoted BrokerCheck through national advertising campaigns and by giving it prime real estate on its website’s home…

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