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Regulators Crackdown On RIAs Employing Advisors Previously Barred By FINRA

November 20th, 2017

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…

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