Tag: Form U-4

Analysis News

Hire Standards

Regulators Call For Increased Scrutiny of Brokers with Disclosures By Mark J. Astarita, Esq.   WHETHER JUSTIFIED OR NOT, the hiring and continued employment of brokers with disclosable events on their Central Registration Depository (CRD) reports is an increasing concern. Just last year, a report issued by regulators recommended stringent […]

Analysis Brokers

Too Much Information

 The NASD May Soon Protect Investors at Broker’s Expense By Mark J. Astarita, Esq. This time the National Association of Securities Dealers (NASD) has gone too far. On November 27, 1996, the association proposed to make full disclosure of the entire contents of the disciplinary and litigation section of a […]