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.
https://lawprofessors.typepad.com/securities/2009/11/sec-approves-expansion-of-brokercheck-disclosure.html