In a March, 2012, article for InvestmentNews.com, Dan Jamieson writes that industry observers are wondering why the Financial Industry Regulatory Authority Inc. (FINRA)has issued a proposal to disclose licensing exam scores on its BrokerCheck system. Finra has requested comments regarding disclosing more through the disciplinary reporting system, including exam scores, broker termination information and more historical data. Jamieson […]

In a March 1st, 2012, article from InvestmentNews.com, Dan Jamieson writes that Finra is considering giving up its proprietary lock on BrokerCheck data, opening the way for a higher level of scrutiny of brokers' disciplinary information, observers said. Finra, the Financial Industry Regulatory Authority Inc., earlier this month requested comments on the idea of giving private […]