Jul 12, 2018 | Background Investigations, Banking & Finance, BLOG
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 arbitration operations of the New York Stock Exchange. They oversee background checks for...
Jul 19, 2016 | Background Investigation News, Company News, Webinar
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 (Eastern Time) Followed by 15 Minute Question & Answer Period ...
May 4, 2015 | Background Investigations, Banking & Finance, BLOG
Mario Pecoraro, CEO of Alliance Risk Group, has just issued a new whitepaper which answers the question, “What searches should be conducted to be compliant with the new FINRA background check rule effective July 1, 2015?” Download the .pdf here....
Mar 24, 2015 | Background Investigations, Banking & Finance, BLOG
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 stress, anxiety, difficulty sleeping and depression. The FINRA...
Jan 21, 2015 | Background Investigation News, Company News
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 Financial Planners that will go into effect on July 1, 2015 * View the Latest...