Securities Law Prof Blog

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

Monday, April 19, 2010

FINRA Proposes Expanded Disclosure in BrokerCheck

FINRA has filed with the SEC a proposed rule change to amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) that will significantly expand the information released through BrokerCheck, both in terms of scope and time disclosed.  In addition, the new rule would establish a process to dispute the accuracy of (or update) information disclosed through BrokerCheck.

Other Regulatory Action | Permalink

TrackBack URL for this entry:

Listed below are links to weblogs that reference FINRA Proposes Expanded Disclosure in BrokerCheck:


Post a comment