Decision Issuance
After considering the application, the membership interview, documents provided by the Applicant, other information, the public interest and the protection of investors, FINRA will issue a decision as to whether membership will be granted, granted with restrictions or denied. The decision will be based upon a determination as to whether the Applicant meets the&
BrokerCheck, a free online database provided by FINRA, provides a wealth of background information about brokers to help make that decision easier.
Tips for searching BrokerCheck.
The following glossary of terms is intended only for use by BrokerCheck users to assist them in better understanding a BrokerCheck report. Please note that these terms may have slightly different or more specific meanings in other contexts.
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The BrokerCheck Terms of Use permit use of BrokerCheck data for investor protection, academic, compliance or regulatory purposes. The Terms of Use do not permit use of BrokerCheck for other purposes (with limited exceptions), and it may not be used in violation of the law.
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The Securities and Exchange Commission (SEC), Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced that registration is open for a virtual Compliance Outreach Program for municipal market professionals. The free webcast is open to the public and will take place on Thursday, December 7, 2023, from 10:30 a.m. to 4:30 p.m. ET.
The Neutral Corner - Volume 3—2023
Asset Backed Securities data is currently unavailable. Asset Backed Securities data will be posted as soon as the issue is resolved.
