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: Securities Law Prof Blog

FINRA Proposes Expansion of BrokerCheck

By Securites Lawprof

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FINRA is proposing a major expansion of its BrokerCheck service ? to make records of final regulatory actions against brokers permanently available to the public, regardless of whether they continue to be employed in the securities industry. Under current rules,...

Full post as published by Securities Law Prof Blog on April 27, 2009 (boomark / email).

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