Summary Effective Date: June 6, 2016 The SEC approved amendments to FINRA Rule 2210 (Communications with the Public) to require each of a member firm’s websites to include a readily apparent reference and hyperlink to BrokerCheck on (1) the initial Web page that the firm intends to be viewed by retail investors, and (2) any […]
Summary Effective Date: December 12, 2015 The SEC approved a change to FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to reduce the waiting period from 15 days to three business days for the release of certain information reported on the Form U5 (Uniform Termination Notice for Securities Industry Registration) through BrokerCheck. The effective date is December […]
Browse answers to the questions most frequently asked of ACI.
Definitions for the most commonly used Financial Accounting terms.