Securities Law Prof Blog

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

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Monday, May 16, 2011

FINRA Launches Disciplinary Actions Online Database

The FINRA announced the launch of the FINRA Disciplinary Actions Online database, a web-based searchable system that makes its disciplinary actions accessible via its website.  Users can conduct a search for FINRA disciplinary actions that were issued during 2006 or later, and are eligible for publication pursuant to FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information). Results will also include opinions issued by the SEC and federal appellate courts that relate to FINRA disciplinary actions that have been appealed.  Users may search for actions by case number, document text, document type, action date (by date range), a combination of document text and action date, individual name and Central Registration Depository (CRD┬«) number, or firm name and CRD number.

BrokerCheck® reports will now link to disciplinary actions housed in the system, as it currently does for arbitration awards in the Arbitration Awards Online database. Beginning June 15th, FINRA Monthly Disciplinary Actions will also link each write-up to its corresponding action in the database.

 

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