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Articles Posted in BrokerCheck

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SEC Approves Change to FINRA’s BrokerCheck On When to Publish Firings

The Securities and Exchange Commission has approved the Financial Industry Regulatory Authority’s plan to shorten the waiting period for when certain information reported on Form U5 can be released on BrokerCheck.com from 15 days to three days. This includes information about broker firings. The modification will go into effect on…

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