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Financial industry regulators are hoping to enact a rule this year that would make it easier for investors to find out if a broker pushing to sell them a stock, bond or other investment product has a clean record.
A year ago, the Financial Industry Regulatory Authority proposed a regulation that would require brokerage firms to include on their websites and social media feeds a link to the FINRA BrokerCheck website, an online database that keeps a record of disciplinary actions and securities arbitrations involving a registered investment adviser. The proposal was intended to make it easier for investors to research the background of a firm and its brokers before doing business with them.