Warning Signs of Fraud During BrokerCheck
BrokerCheck is one of FINRA’s tools that help inform investors and help keep them aware of potential issues in the financial advising community. Not everyone claiming to be a broker or financial advisor has the proper certifications and licenses to qualify them...
What Are the FINRA Requirements Your Broker Needs to Meet?
Brokers and financial advisors are held to certain standards based on federal and state law. In addition, the Financial Industry Regulatory Authority (FINRA) creates specific rules that apply to financial industry professionals across the country. These rules require...
What is the Difference Between FINRA and the SEC?
The Financial Industry Regulatory Authority (FINRA) and the United States Securities and Exchange Commission (SEC) are both financial agencies that protect investors against securities fraud, also known as “investment fraud,” which is the practice of...
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