Regulation
Regulatory Notice 12-10
FINRA Requests Comment on Ways to Facilitate and Increase Investor Use of BrokerCheck Information
Comment Period Expired: April 27, 2012
Executive Summary
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.
Questions concerning this Notice should be directed to:
- Richard E. Pullano, Vice President and Chief Counsel, Registration and Disclosure, at (240) 386-4821; or
- John D. Nachmann, Assistant Chief Counsel, Registration and Disclosure, at (240) 386-4816.
The comment period was extended to April 27, 2012.
| View Full Notice | PDF 130 KB |
The views, expressions, findings and opinions expressed in the comments on this Web page are solely those of the author(s) and FINRA accepts no responsibility for the content of the comments.
| Comments By | Date Received |
|---|---|
| Investor Fraud Alliance (PDF 42 KB) | 2/22/2012 |
| Bryan Corbitt (PDF 43 KB) | 2/23/2012 |
| Waddell & Reed, Inc. (PDF 40 KB) | 2/24/2012 |
| Nelson M. Kelly (PDF 32 KB) | 2/24/2012 |
| Wiley Bros. – Aintree Capital LLC (PDF 44 KB) | 2/25/2012 |
| Rick Carlson (PDF 46 KB) | 2/28/2012 |
| Steiner & Libo (PDF 20 KB) | 2/29/2012 |
| Foresters Equity Services, Inc. (PDF 10 KB) | 3/1/2012 |
| Tippybob (PDF 44 KB) | 3/5/2012 |
| Crowell, Weedon & Co. (PDF 82 KB) | 3/6/2012 |
| Crowell Weedon & Co. (PDF 46 KB) | 3/7/2012 |
| Crowell Weedon & Co. (PDF 42 KB) | 3/7/2012 |
| April Kvalvik (PDF 58 KB) | 3/8/2012 |
| The Sunlight Foundation (PDF 20 KB) | 3/8/2012 |
| First Georgetown Securities, Inc. (PDF 78 KB) | 3/8/2012 |
| Christine Podolak (PDF 41 KB) | 3/8/2012 |
| Crowell Weedon & Co. (PDF 41 KB) | 3/9/2012 |
| Planned Investment Co., Inc. (PDF 27 KB) | 3/13/2012 |
| Michele M. Perrault (PDF 11 KB) | 3/14/2012 |
| Pam Fritz (PDF 57 KB) | 3/15/2012 |
| DST Systems, Inc. (PDF 107 KB) | 3/19/2012 |
| Compass Financial, LLC (PDF 14 KB) | 3/19/2012 |
| Cutter & Company, Inc. (PDF 43 KB) | 3/19/2012 |
| Lynn C. Appelman (PDF 43 KB) | 3/20/2012 |
| K. Hetzer (PDF 16 KB) | 3/20/2012 |
| David S. Eckess (PDF 14 KB) | 3/22/2012 |
| Delta Trust Investments (PDF 14 KB) | 3/22/2012 |
| Thomas Capital Management, LLC (PDF 27 KB) | 3/22/2012 |
| Jaimie Davis (PDF 16 KB) | 3/23/2012 |
| Wulff, Hansen & Co. (PDF 247 KB) | 3/23/2012 |
| Abel/Noser Corp. (PDF 26 KB) | 3/26/2012 |
| Dorsey & Co., Inc. (PDF 87 KB) | 3/28/2012 |
| MWA Financial Services, Inc. (PDF 63 KB) | 3/28/2012 |
| MWA Financial Services, Inc. (PDF 45 KB) | 3/28/2012 |
| Barry D. Estell (PDF 46 KB) | 3/28/2012 |
| David Harrison, Esq (PDF 42 KB) | 3/28/2012 |
| Public Investors Arbitration Bar Association (PDF 273 KB) | 3/30/2012 |
| Dickenson Murphy Rex & Sloan (PDF 65 KB) | 3/30/2012 |
| Hagan & Burns (PDF 35 KB) | 3/30/2012 |
| Jeffrey A. Feldman (PDF 45 KB) | 4/1/2012 |
| Herbert E. Pounds, Jr. (PDF 18 KB) | 4/2/2012 |
| Securities Arbitration Clinic at St. John’s University School of Law (PDF 23 KB) | 4/4/2012 |
| Farmers Financial Solutions, LLC (PDF 1,000 KB) | 4/5/2012 |
| The American College (PDF 206 KB) | 4/5/2012 |
| SIFMA (PDF 300 KB) | 4/5/2012 |
| Wells Fargo Advisors (PDF 141 KB) | 4/5/2012 |
| Regal Bay Investment Group LLC (PDF 26 KB) | 4/5/2012 |
| Tony Ristaino (PDF 13 KB) | 4/6/2012 |
| BrightScope, Inc. (PDF 127 KB) | 4/6/2012 |
| Carolyn R. May (PDF 16 KB) | 4/12/2012 |
| Robert C. Port (PDF 31 KB) | 4/12/2012 |
| Association of Registration Management Inc. (PDF 49 KB) | 4/12/2012 |
| Malecki Law (PDF 49 KB) | 4/18/2012 |
| Commonwealth Financial Network (PDF 16 KB) | 4/19/2012 |
| Aidikoff, Uhl & Bakhtiari (PDF 52 KB) | 4/20/2012 |
| Keith McCracken (PDF 21 KB) | 4/23/2012 |
| Jonathan W. Evans & Associates (PDF 119 KB) | 4/25/2012 |
| Consumer Federation of America (PDF 75 KB) | 4/26/2012 |
| Cornell University Law School (PDF 210 KB) | 4/26/2012 |
| Sutherland Asbill & Brennan LLP (PDF 252 KB) | 4/27/2012 |
| RW Smith (PDF 74 KB) | 4/27/2012 |
| CFP Board (PDF 126 KB) | 4/27/2012 |
| Financial Services Institute (PDF 124 KB) | 4/27/2012 |
| Crescent Securities Group, Inc. (PDF 140 KB) | 4/27/2012 |
| NASAA (PDF 42 KB) | 4/27/2012 |
| RegEd (PDF 92 KB) | 4/27/2012 |
| Integrated Management Solutions (PDF 115 KB) | 4/27/2012 |
| Investors Recovery Service (PDF 230 KB) | 4/27/2012 |
| Russell Travis (PDF 16 KB) | 4/27/2012 |
| PIRC (PDF 31 KB) | 4/27/2012 |
| NSCP (PDF 116 KB) | 4/30/2012 |