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In its continuing efforts to combat fraud and provide the public with accurate information on investment professionals, the Financial Industry Regulatory Authority (FINRA) implemented changes to its background check requirements for registered individuals in 2015. These changes expanded the obligation of member firms to investigate the background of applicants for registration by confirming the completeness and accuracy …

New FINRA Background Check Requirements: What You Need to Know Read More »

As New York City joins the long list of jurisdictions restricting the use of a credit report for employment, the debate over this trend continues between employers, advocates, and politicians. Among the more vocal concerns are those of employers, a large number of whom utilize credit reports to assess fiscal responsibility in job applicants and, in some …

Ban on Credit Reports Shouldn’t Impact Employee Screening Read More »