The Financial Industry Regulatory Authority (FINRA) oversees broker-dealers and their licensed registered representatives.  FINRA rules surrounding U-4 and U-5 filings require FINRA members to report customer complaints, regulatory investigations and, under some circumstances, conduct outside of the workplace.  FINRA mandated reporting provides important information primarily to three constituencies:  (1) investors who seek information about their investment advisors; (2) prospective employers…

© 2016 Barr & Young Attorneys  | developed by Comrade Web