What Does FINRA Do When it Comes to Background Checks?
What does FINRA do when it comes to background checks? FINRA is the successor to the National Association of Securities Dealers, Inc. and the member regulation, enforcement, and [...]
Alliance CEO to Present Webinar on SEC-Approved Background Check Rule 3110(e)
Webinar Regarding FINRA Rule 3110(e) “Onboarding & Compliance: What Investment Companies Should Know Before Making a Hiring Decision” August 2, 2016 1:00 – 1:45 Presentation [...]
FINRA Report: Fraud Causes Extreme Emotional Distress on Victims
The Financial Industry Regulatory Authority (FINRA) has released a study by the FINRA Foundation, stating that the effects of fraud linger well after the scam is over. Victims experience severe [...]
View Mario’s Video Discussing E-Newsletter and FINRA Background Check Rule
Click to View Video re: E-Newsletter and FINRA Background Check Rule! CEO Mario Pecoraro announces Background Investigation E-Newsletter Highlights: * SEC Approves Background Check Rule for [...]
FINRA Background Check Rule Goes Into Effect 7/1/15
Click here to have a representative contact you about the FINRA Background Check Rule.