•  
  •  
 

Hofstra Law Review

Authors

James T. Farris

Abstract

The article discusses the ways in which the U.S. Financial Industry Regulatory Authority Inc.'s (FINRA's) expungement process is endangering future investors in America through a lack of information sharing, and it mentions the laws governing the nation's securities industry, as well as the legal obligations of brokers. FINRA's Broker Check online database is mentioned, along with the efforts to protect investors from fraudulent brokers. U.S. government agency rules are also examined.

Included in

Law Commons

Share

COinS
 

To view the content in your browser, please download Adobe Reader or, alternately,
you may Download the file to your hard drive.

NOTE: The latest versions of Adobe Reader do not support viewing PDF files within Firefox on Mac OS and if you are using a modern (Intel) Mac, there is no official plugin for viewing PDF files within the browser window.