Tag Archives: Regulatory Notice 15-05

The Impact of “Ban the Box” Legislation on FINRA Broker-Dealers

July 15, 2015Legal AlertsBan the Box, FINRA, Regulatory Notice 15-05Daniel LeGaye

Oregon has joined California, Colorado, Connecticut, Delaware, Georgia, Hawaii, Illinois, Maryland, Massachusetts, Minnesota, Nebraska, New Jersey, New Mexico, Rhode Island, Vermont, Virginia and Washington, D.C. in the “Ban the Box” … Continue reading The Impact of “Ban the Box” Legislation on FINRA Broker-Dealers →

Background Investigations Now Required by FINRA

July 1, 2015Compliance Notice, Legal AlertsFINRA, Regulatory Notice 15-05, Rule 3110(e)Michael Schaps

FINRA Rule 3110(e) (Responsibility of Member to Investigate Applicants for Registration) is effective as of July 1, 2015. The new rule requires, prior to registration, that broker-dealers conduct an investigation … Continue reading Background Investigations Now Required by FINRA →