Broker- Dealer Law Corner

Broker- Dealer Law Corner

Category Archives: Rule 3110

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FINRA’s (Mostly) New Background Check Rule Goes Into Effect July 1

Posted in FINRA, Form U-4, Hiring practices, Registered Representative, Rule 3110
As everyone who studies FINRA’s Regulatory Notices is already well aware, two days from now, FINRA’s rule requiring background checks on prospective registered representatives goes into effect. A lot of what the new rule mandates is not new, but, as there are some things that clearly were not required before, it is worth taking a… Continue Reading
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