Securities Law Prof Blog

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

Friday, March 2, 2012

FINRA Considers Allowing Private Vendors Access to BrokerCheck

In February, FINRA issued a request for comment on  Ways to Facilitate and Increase Investor Use of BrokerCheck Information (Regulatory Notice 12-10), in which it explained:

FINRA requests comment on ways to facilitate and increase investor use of BrokerCheck information. Specifically, FINRA requests comment on potential changes to the information disclosed through BrokerCheck, the format in which the information is presented and strategies to increase investor awareness of BrokerCheck.

An article in Investment News explains that FINRA is considering allowing private vendors access to the database of disciplinary and licensing information that could make the information much more user-friendly.  InvNews, Finra may give up lock on BrokerCheck

Comment Period Expires: April 6, 2012

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