Securities Law Prof Blog

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

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.

SEC Action | Permalink

TrackBack URL for this entry:

Listed below are links to weblogs that reference SEC Approves Expansion of BrokerCheck Disclosure:


Post a comment