Home > FAQs > Compliance > Enhanced Supervisory Requirements > Can I use ORS to search the registration history of a...

Can I use ORS to search the registration history of a broker I am considering sponsoring as an AP to see if he previously worked for a firm on the Disciplined Firm List?

Yes. The broker's ‘Status History' screen in ORS indicates if a current or former AP has been employed by a Disciplined Firm.

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