Series 24: Investor Education And Protection

Taken from our Series 24 Online Guide

Investor Education and Protection

Once every calendar year, each member firm must provide its customers in writing the FINRA website address, FINRA’s BrokerCheck Hotline Number, and a statement as to the availability of an investor brochure that describes FINRA BrokerCheck.

BrokerCheck is a tool to help investors research the professional backgrounds of current and former FINRA-registered brokerage firms and individual brokers.

Additionally, member firms must provide a current copy of the FINRA Manual for examination by customers upon request. A firm can meet this requirement by maintai

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Janie Richards, Austin, TX