Add Yahoo as a preferred source to see more of our stories on Google. Would you want to know if your financial advisor was a criminal? What about if they'd ripped off another client? Or if they've ...

Robinhood and others made the comments in response to Finra's April notice to members about diversity. Monday was the final day for comments. In that April 29 notice, Finra said it was seeking comment ...

A: While this may seem confusing at first, the answers are fairly simple. First, the arbitration is not showing up on your U4 because your prior employer submitted it on a U5. (Or, rather via an ...

A: Unfortunately, the answer is yes. The relevant question on the Form U4 is 14K, which asks whether, in the last 10 years, you have made a compromise with creditors, filed a bankruptcy petition or ...

Peggy Chait, compliance consultant, chats with Bruce and Jeff about Finra's effort to increase the diversity of the financial services industry. They discuss the details of Form U4, disclosures, and ...

For the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority (“FINRA”), without admitting or denying the findings, prior to a regulatory hearing, ...

Would you want to know if your financial advisor was a criminal? What about if they'd ripped off another client? Or if they've been incentivized to sell you products that aren't in your best interest?