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