BrokerCheck Link Rule Approved

The SEC last week approved a Finra rule requiring links to the BrokerCheck disciplinary database be included on the websites of broker-dealers, registered reps and branch offices.

Under the plan, Finra would require a “readily apparent reference” and hyperlink to the BrokerCheck system on a webpage that a brokerage firm or branch office provides for retail investors, and on any other webpage that includes a profile of registered persons. The rule would not apply to firms that don’t serve retail investors.

Read more from Financial Advisor Magazine here.


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