The Securities and Exchange Commission (SEC) recently redesigned their public disclosure website that features easier background checks via smartphones, etc… Its new look is sleeker and has a much more convenient way to access it. There were averages of two million searches for advisory businesses and more than five million searches for individual advisers on the IAPD site per month, according to an SEC spokeswoman. The website is also now more mobile and tablet-friendly. This comes on the heels of the Financial Industry Regulatory Authority (FINRA) launching an ad campaign last summer for BrokerCheck, its database for investors to check the employment and disciplinary history of brokers. Also, in October the SEC approved a rule requiring brokerages to include a link to BrokerCheck on their home pages and broker profiles.
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