FINRA is seeking to increase investor awareness of BrokerCheck, its online investor tool for researching the professional backgrounds of firms and brokers. BrokerCheck is accessible to investors and all members of the public from the front page of FINRA’s own website. FINRA wants to require member firms to make BrokerCheck available on their websites and

At this week’s Annual SIFMA Law and Compliance meeting, FINRA CEO Rick Ketchum provided a number of candid and pointed comments in a wide-ranging and no-holds-barred interview conducted by long-time senior compliance official Dave DeMuro.

The interview’s headline topic was FINRA’s concept proposal issued late last year regarding the Comprehensive Automated Risk Data System, or