The Importance of Complying with FINRA, and How to Best Do So

The Importance of Complying with FINRA, and How to Best Do So

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Federal regulations mandate that the Financial Industry Regulatory Authority (FINRA) member firms conduct both fingerprint-based and name-based background checks on most of their employees as they join the organization. FINRA’s rules were designed to ensure that employees, and brokers in particular, are individuals of good moral character and can handle sensitive financial information with care. […]

3 Tips for Finding More Employees (But Not More Risk) In a Talent Shortage

3 Tips for Finding More Employees (But Not More Risk) In a Talent Shortage

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This is the first of a two-part series addressing talent acquisition strategies in a time of record-low unemployment. Earlier this month, the July jobs report confirmed what human resources departments already knew: There simply are not enough qualified job candidates to fill open positions. At 3.7%, the unemployment rate has remained consistently low for months […]