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Posts by Category: Background Check Compliance

New FINRA Rule on Background Checks

New FINRA Rule on Background Checks

FINRA (the Financial Industry Regulatory Authority) has issued a rule change for background screening requirements that went into effect on July 1, 2015. FINRA Rule 3110(e) is based on similar provisions in NASD Rule 3010(e) and NYSE Rule 345.11. In short, FINRA Rule…

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