Market regulation · 03/10/2014Updated: 10/17/2026 · 1 min read

FINRA Proposes Rule Change to Enhance Background Checks for Registered Representatives

Summary

The Financial Industry Regulatory Authority (FINRA) has filed a proposed rule change to adopt a new requirement for member firms to investigate applicants for registration, aiming to strengthen the background check process for registered representatives.

Original source language: Federal Register — SECOpen original release →

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