AstraBit was granted membership by the Financial Industry Regulatory Authority (FINRA) on December 16, 2025, registering as a broker-dealer in the United States. Broker-dealer registration is publicly ...
FINRA plans to unveil a new user interface for its online central registration depository system on June 30. The system acts as a hub for information about brokers and their firms that consumers can ...
The Financial Industry Regulatory Authority (FINRA) has created the Disciplinary Actions Online database, which allows investors to find disciplinary records of FINRA-registered brokers. Investors can ...
The financial marketplace can be risky. You’ve probably heard about investors being swindled by shady, boiler room stock brokers. This can happen. But the Financial Industry Regulatory Authority ...
CRD maintains securities professionals' records, aiding public research through BrokerCheck. BrokerCheck offers detailed profiles of finance professionals' background and conduct. CRD supports ...
A: While this may seem confusing at first, the answers are fairly simple. First, the arbitration is not showing up on your U4 because your prior employer submitted it on a U5. (Or, rather via an ...
FINRA’s BrokerCheck and the state-FINRA Central Registration Depository (CRD) should carry a prominent warning that they are unreliable inasmuch as they do not include all customer complaints because ...
FINRA is a regulator of central importance to the functioning of U.S. capital markets. It is neither a true self-regulatory organization nor a government agency. It is largely unaccountable to the ...
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