SEC Approves Finra Proposal to Tag Problem Firms as ‘Restricted’ in BrokerCheck | Barron’s

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Investors could soon start seeing bright red flags warning them about problematic firms when they go online to research brokers.

Brokerage industry self-regulatory organization Finra has won approval for its proposal to start identifying firms with significant disciplinary histories as “restricted” in its BrokerCheck database.

The Securities…

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