News & Analysis as of

SEC Approves Changes to FINRA BrokerCheck Disclosure Rule 8312

The Securities and Exchange Commission approved two changes to Financial Industry Regulatory Authority Rule 8312 relating to FINRA BrokerCheck Disclosure (BrokerCheck Rule)...more

FINRA To Require BrokerCheck Link On Internet Advertising

Financial Industry Regulatory Authority, Inc., or FINRA, has filed a proposed rule change with the SEC to amend FINRA Rule 2267 (Investor Education and Protection) to require that FINRA members include a prominent...more

SEC Approves Amendments to FINRA's BrokerCheck

The Securities and Exchange Commission has approved Financial Industry Regulatory Authority amendments to its BrokerCheck system to expand the information released through BrokerCheck and establish a formal process to dispute...more

FINRA Proposes to Include More and Older Information on BrokerCheck

Continuing its efforts to increase the amount of publicly available information on financial industry professionals, the Financial Industry Regulatory Authority (FINRA) announced last Wednesday its proposed plans to...more

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