Securities Law Prof Blog

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

A Member of the Law Professor Blogs Network

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.

http://lawprofessors.typepad.com/securities/2010/04/finra-proposes-expanded-disclosure-in-brokercheck.html

Other Regulatory Action | Permalink

TrackBack URL for this entry:

http://www.typepad.com/services/trackback/6a00d8341bfae553ef01347ffbaf81970c

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

Comments

Post a comment