Finra sends BrokerCheck link rule to SEC

Finra has advanced a rule that would require brokerage firms to include links from their websites to a public database containing background information on their brokers.

The Financial Industry Regulatory Authority Inc. filed the proposed rule change Wednesday with the Securities and Exchange Commission.

Under the measure, a brokerage would have to include a link to BrokerCheck on a homepage that is initially viewed by retail investors. It also would have to include links to the database on profile pages of individual brokers.

Read more from InvestmentNews here


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