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


Leave a Reply

Fill in your details below or click an icon to log in: Logo

You are commenting using your account. Log Out /  Change )

Google+ photo

You are commenting using your Google+ account. Log Out /  Change )

Twitter picture

You are commenting using your Twitter account. Log Out /  Change )

Facebook photo

You are commenting using your Facebook account. Log Out /  Change )


Connecting to %s