As the financial advice industry makes efforts to increase the diversity of its workforce, Finra’s registration form for individuals who are applying to be licensed as registered representatives has been cited as a barrier to achieving that goal. This spring, ...

The Financial Industry Regulatory Authority Inc. could help foster diversity in the securities industry if it rethought questions about criminal activity on the basic employment record for the roughly 300,000 financial advisers working at brokerage firms, according to a handful ...