Securities Law Prof Blog

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

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Wednesday, November 18, 2009

SEC Approves Expansion of BrokerCheck Disclosure

Here is the link to the SEC's Order Approving a Proposed Rule Change Relating to Availability of Information Pursuant to FINRA Rule 8312 (FINRA BrokerCheck Disclosure).  I blogged yesterday about the amendment to maintain the information on broker dealers permanently available, even if the individuals left the industry.

http://lawprofessors.typepad.com/securities/2009/11/sec-approves-expansion-of-brokercheck-disclosure.html

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