BrokerCheck is a free tool from FINRA that helps you research investment professionals and firms. It lets you search by name, number, or zip code to find detailed reports about their history, qualifications, and any problems they’ve had. This service is great for checking the background of people in the securities and exchange industry. Knowing […]
Navigating FINRA Broker Check: Everything You Need to Know Read More »
Navigating the ever-evolving regulatory landscape can be a daunting task for financial firms. The Financial Industry Regulatory Authority (FINRA) is the governing body responsible for setting Rule 4530. FINRA Rule 4530 sets reporting requirements that firms must adhere to. This blog post will guide you through understanding these requirements and devising compliance strategies. Haselkorn &
Understanding FINRA Rule 4530: Reporting Requirements And Compliance Strategies Read More »
The search for the right legal representation during financial disputes can be daunting. Investment losses, broker misconduct, or complex securities issues often leave you feeling overwhelmed and uncertain about your next steps. Hiring a specialized FINRA (Financial Industry Regulatory Authority) lawyer is crucial. These attorneys possess deep knowledge of securities arbitration and regulations governing the
How to Find the Right FINRA Lawyer for Recovering Investment Losses Read More »
Ah, the golden years! A time for relaxation, reflection, and… financial exploitation? Sadly, that’s been the case for some seniors. But FINRA (Financial Industry Regulatory Authority) is stepping up to ensure that our beloved seniors aren’t taken for a ride by those they trust with their finances. The Heart of the Matter Recently, FINRA rolled
Protecting the Golden Years: FINRA’s New Rule to Shield Seniors Read More »
Is understanding the history and impact of minority construction trade associations a challenge for you? The National Association of Minority Contractors (NAMC) holds the title as the oldest one in the US. This blog post will delve into NAMC’s journey, its mission to empower minority contractors, and how it has influenced our nation’s construction industry.