Tag Archives: FINRA Rule 3010(e)

CRD Public Records Validation Initiative Evolving to Ongoing Validation

October 14, 2015Compliance Notice, Legal AlertsCRD, FINRA, FINRA Rule 3010(e)Daniel LeGaye

In April 2014, the Financial Industry Regulatory Authority (“FINRA“) rolled out the CRD Public Records Validation Initiative to conduct a review of public records available for the entire population of … Continue reading CRD Public Records Validation Initiative Evolving to Ongoing Validation →

Effective Date of consolidated FINRA Rule 3110(e)

FINRA, FINRA Rule 3010(e), SEC

The SEC approved FINRA’s proposed rule change to adopt NASD Rule 3010(e) (Qualifications Investigated) relating to background checks on registration applicants as FINRA Rule 3110(e). FINRA Rule 3110(e) becomes effective … Continue reading Effective Date of consolidated FINRA Rule 3110(e) →