NASD expands broker, firm disciplinary information
IRVINE, Calif. — NASD is expanding the disciplinary information it discloses about brokers and firms.
IRVINE, Calif. — NASD is expanding the disciplinary information it discloses about brokers and firms.
The changes, implemented in March, are part of a revamped Broker- Check reporting system that delivers reports online in real time.
Previously, users had to wait for delivery via e-mail.
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