The Financial Industry Regulatory Authority (FINRA) has released an enhanced version of BrokerCheck that allows investors to more quickly access and more intuitively understand the professional background of investment professionals.
Derek Linden, executive vice president, Registration and Disclosure, FINRA, said: "Investors using BrokerCheck will encounter a more user-friendly interface that allows them to quickly find information that can help them decide if an investment professional is right for them."
Go deeper with GlobalData
Now investors can search both the BrokerCheck and Investment Adviser Public Disclosure (IAPD) record of any securities professional or firm directly on the FINRA homepage.
The BrokerCheck search results are presented in a graphical timeline, illustrating a more user-friendly view of the industry professional’s employment status and history, industry registrations, and any reportable events such as customer disputes or disciplinary actions that may have occurred during his or her career.
How well do you really know your competitors?
Access the most comprehensive Company Profiles on the market, powered by GlobalData. Save hours of research. Gain competitive edge.
Thank you!
Your download email will arrive shortly
Not ready to buy yet? Download a free sample
We are confident about the unique quality of our Company Profiles. However, we want you to make the most beneficial decision for your business, so we offer a free sample that you can download by submitting the below form
By GlobalData
