Regulatory Notice 14-19

FINRA Requests Comment on a Revised Proposal to Require a Hyperlink to BrokerCheck in Online Retail Communications With the Public

Comment Period Expires: June 16, 2014

 

Executive Summary

FINRA seeks comment on a revised proposal to require a hyperlink to BrokerCheck in firms’ online retail communications with the public. The revised proposal includes changes made in response to comments on a prior proposal to amend FINRA Rule 2267 (Investor Education and Protection). The revised proposal would require a firm to include a readily apparent reference and hyperlink to BrokerCheck on each website of the firm that is available to retail investors. In addition, it would require a firm to include a readily apparent reference and hyperlink to BrokerCheck in online retail communications with the public that include a professional profile of, or contact information for, an associated person, subject to specified conditions and exceptions, including exceptions for electronic mail and text messages. The proposed rule is available as Attachment A at www.finra.org/ notices/14-19.

 

Questions concerning this Notice should be directed to:

  • Joseph Savage, Vice President, Regulatory Policy, at (240) 386-4534;
  • Richard E. Pullano, Vice President and Chief Counsel, Registration and Disclosure, at (240) 386-4821 (regarding BrokerCheck); or 
  • Erika Lazar, Assistant General Counsel, Office of General Counsel, at (202) 728-8013.
View Full Notice PDF 64 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
First Georgetown Securities, Inc. (PDF 47 KB) 5/16/2014
Midwestern Securities Trading Company, LLC (PDF 42 KB) 5/21/2014
Buckman, Buckman, & Reid (PDF 31 KB) 6/3/2014
Windham Financial Services, Inc. (PDF 47 KB) 6/4/2014
Teresa Vollenweider (PDF 17 KB) 6/10/2014
Financial Services Institute (PDF 142 KB) 6/12/2014
Farmers Insurance. (PDF 142 KB) 6/13/2014
NFP Securities, Inc. (PDF 336 KB) 6/13/2014
Georgia State University (PDF 148 KB) 6/13/2014
Carrie Devorah (PDF 57 KB) 6/13/2014
PIRC (PDF 111 KB) 6/16/2014
Charles Schwab & Co., Inc. (PDF 25 KB) 6/16/2014
Investment Company Institute (PDF 101 KB) 6/16/2014
Wells Fargo Advisors, LLC (PDF 120 KB) 6/16/2014
Alpine Securities Corporation (PDF 32 KB) 6/16/2014
Sutherland Asbill & Brennan LLP (PDF 431 KB) 6/16/2014
Public Investors Arbitration Bar Association (PIABA) (PDF 317 KB) 6/16/2014
Commonwealth Financial Network (PDF 116 KB) 6/16/2014
Lincoln Financial Advisors Corp. (PDF 176 KB) 6/16/2014
SIFMA (PDF 72 KB) 6/16/2014
University of Miami School of Law (PDF 518 KB) 6/16/2014
NASAA (PDF 60 KB) 6/20/2014