RJ and Makay

Monday, May 21st

Open Positions | Careers | Privacy Policy | Bookmark | FAQ | Contact Us  

You are here: Tags
http://www.rjandmakay.com/components/com_gk2_photoslide/images/thumbm/537321header_1.jpg http://www.rjandmakay.com/components/com_gk2_photoslide/images/thumbm/963038header_2.jpg http://www.rjandmakay.com/components/com_gk2_photoslide/images/thumbm/981787header_3.jpg http://www.rjandmakay.com/components/com_gk2_photoslide/images/thumbm/923473header_4.jpg

RJ & Makay

Our view of news, events and human capital trends in the financial services industry.
Tags >>

FINRA launches new online watchdog service

Posted by RJ and Makay on May 18, 2011
>> Read More RJ & Makay Blog Posts

The Financial Industry Regulatory Authority (FINRA) is putting more if its disciplinary action information online.  Finra Disciplinary Actions Online, a new database launched yesterday, will provide access to FINRA complaints against firms and individual brokers.

Settlement agreements, known as Letters of Acceptance Waivers and Consents (AWCs), along with decisions by FINRA hearing panels and National Adjudicatory Council decisions will be available online.