Jonathan Shapiro

Jonathan Shapiro

Littler

Contact
View Bio
RSS

Latest Posts › Background Checks

Share:

FINRA Members Subject to New Background Screening Rules

Last year, the Financial Industry Regulatory Authority (FINRA), a non-governmental organization that regulates member brokerage firms and exchange markets, approved proposed Rule 3110(e), which enhances the background...more

1/22/2016  /  Background Checks , Ban the Box , BrokerCheck , Brokers , Disclosure Requirements , Fair Credit Reporting Act (FCRA) , Financial Industry Regulatory Authority (FINRA) , Screening Procedures
1 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide