Securities Law Prof Blog

Editor: Eric C. Chaffee
Univ. of Toledo College of Law

Monday, March 19, 2007

NASD Announces Updated BrokerCheck

NASD announced a updated version of its BrokerCheck public disclosure program that allows members of the public to obtain information about brokers.  Beginning today, NASD BrokerCheck is available online 24 hours a day, seven days a week. Vastly improved search options make finding an individual broker or firm faster and easier. When they find that a broker or firm has "disclosure events" such as criminal actions, customer complaints and disciplinary actions by regulators, investors no longer have to make a separate request for a disclosure report to be sent via email at a later time. Instead, the disclosure report is available online within seconds. Finally, an educational component has been added to the service, to help investors view any disclosure events in the appropriate context when evaluating a particular firm or broker.

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What about the use of brokercheck by brokers to discredit other brokers,i.e. mailing printouts of another broker's record to prospective clients,in order to persuade them to choose one broker over another. Would this be a unacceptable use,or fair use of public information?

Posted by: DAVID | Apr 14, 2007 7:35:36 AM

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