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INDUSTRY NEWS

FINRA publishes overview and expectations for CRD Public Records Validation initiative

Posted on 7/8/2015 by Corporate Communications Department

Tags : FINRA

In April 2014, FINRA announced that it would conduct a review of public records available for the entire population of active registered representatives for financial or criminal disclosures that may not have been reported.

FINRA has been working with a vendor to facilitate this review and if inconsistent information is found firms will be notified of any possible unreported disclosures. 

Under the previously promulgated Rule 3110.15, FINRA will issue a refund to firms of Late Disclosure Fees if the firm files a Form U4 amendment between April 24, 2014 and Dec. 1, 2015 (and if one of the enumerated conditions is met).

To view the full validation initiative update published by FINRA, click here. 

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