Is information contained within the CRD and IARD public information, and what types of disciplinary incidents of securities firms and professionals are reported within the CRD and IARD?
The licensing, examination and disciplinary incidents of securities firms and professionals contained within the CRD and IARD are public information. Disciplinary incidents include final disciplinary actions taken by State and Federal regulators, and self-regulatory organizations such as the NASD. They also include civil judgments, arbitration decisions, criminal convictions, bankruptcies filed within the last 10 years, settlements of $10,000 or more, and some pending actions, including pending written complaints alleging sales practice violations and damages of $5,000 or more.
Related Questions
- Is information contained within the CRD and IARD public information, and what types of disciplinary incidents of securities firms and professionals are reported within the CRD and IARD?
- Is information contained within the CRD public information, and what types of disciplinary incidents of salespersons and dealers are reported within the CRD?
- In what types of securities does the State of Missouri invest?
