Securities Law Prof Blog

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

Tuesday, February 21, 2012

FINRA Seeks Comment on BrokerCheck

FINRA Requests Comment on Ways to Facilitate and Increase Investor Use of BrokerCheck Information

Comment Period Expires: April 6, 2012

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

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