Posts tagged investigation.
After seeking comments last fall, the Securities and Exchange Commission ("SEC") recently approved the Financial Industry Regulatory Authority's ("FINRA") proposed rule governing member firms' verification and investigation of associated persons applying for registration with a member firm. Specifically, the Rule, which is based largely on NASD Rule 3010(e), requires member firms to investigate the qualifications and experience of its applicants as well as adopt written procedures designed to verify the accuracy of the disclosures contained in an applicant's ...
Tags: Financial Industry Regulatory Authority, finra, FINRA Rule 3110(e), Form U4, investigation, NASD Rule 3010(e), registration, Registration Applicants, SEC, Securities and Exchange Commission, securities litigation, Uniform Application for Securities Industry Registration or Transfer