FINRA Podcast: 5 Things You Should Know about Securities Professionals

FINRA released a podcast outlining five things investors should know about securities professionals.

The podcast discusses five "must-knows" for investors on what is required to be a securities professional and what is required to obtain and maintain FINRA registration:

• any person working for a brokerage firm who is involved with an investment firm's business must register with FINRA;
• securities professionals must pass qualifying exams before they can work in a specific area of business or handle certain securities;
• continuing education programs are required for securities professionals to maintain their registration;
• investment recommendations that securities professionals make must be appropriate for each customer's situation; and
• FINRA offers a free online tool, Broker Check, that allows investors to research a securities professional's background and disciplinary history.

See: Transcript of Podcast. Listen to the Podcast.