Transcription of Enhancements to FINRA’s
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Enhancements to FINRA’s
Information Notice112 InfoIrmnfEnhancements to FINRA s Disclosure Review Process Relating to Public Financial RecordsSummaryFINRA is making Enhancements to its disclosure review process that will permit firms to rely on FINRA s verification process for purposes of compliance with the requirement to conduct a search of public records relating to bankruptcies, judgments and liens. Specifically, beginning on July 9, 2018, FINRA will conduct a public records search within fifteen calendar days from the date of an applicant s Form U4 (Uniform Application for Securities Industry Registration or Transfer) and provide member firms any information resulting from such a search if such information is different from what was reported in the applicant s Form U4.
1 Enhancements to FINRA’s 12 InfoIrmnf Disclosure Review Process Relating to Public Financial Records Summary FINRA is making enhancements to its disclosure review process that will permit
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