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Financial Advisors

FINRA Eyes BrokerCheck Dispute Process

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Financial Industry Regulatory Authority

At present, FINRA has an informal process for examining disputed information on BrokerCheck. The new plan would help it comply with a congressionally-mandated requirement that, as a registered securities association, it establish an administrative process for disputing the accuracy of information provided through BrokerCheck, officials wrote.

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The views and opinions expressed herein are the views and opinions of the author and do not necessarily reflect those of Nasdaq, Inc.