Guidelines for Broker Comments on BrokerCheck

Individuals who are not currently registered with FINRA, but who have been FINRA-registered within the last two years, may submit a Broker Comment Request Form to provide an update or add context to information disclosed through BrokerCheck. Individuals who are currently registered with FINRA and wish to provide an update or add context to information disclosed through BrokerCheck are required to file an amended Form U4 via Web CRD.

 

Individuals may submit a Broker Comment to FINRA by submitting a completed, signed and notarized Broker Comment Request Form, along with the section(s) of the BrokerCheck report for which a comment is requested (highlighting or circling the specific section is sufficient). FINRA will review the request and add the comment to the individual’s BrokerCheck report if FINRA determines the request meets the following criteria:

 

• The request is appropriate. At a minimum, the comment must not contain confidential customer information; offensive or potentially defamatory language; or information that raises significant identity theft, personal safety or privacy concerns.
  
• The request and comment relate to the information disclosed through BrokerCheck.
  
• The request pertains only to the BrokerCheck report of the individual submitting the request.
  
• The individual submitting the request is not currently FINRA-registered.

 

FINRA reserves the right to reject comments or redact certain information, on a case-by-case basis, that it deems to be inappropriate.

 

Broker Comments that meet FINRA’s criteria generally will be posted to BrokerCheck within thirty business days of receipt. The Broker Comment will be displayed in BrokerCheck as long as the report is available to the public. An individual may replace or delete a previously submitted comment by submitting another Broker Comment Request Form. If an individual becomes FINRA-registered, a previously posted Broker Comment will no longer display through BrokerCheck and the individual must provide any updated information that was the subject of the Broker Comment via a Form U4.

 

To submit the request, mail the completed, signed and notarized Broker Comment Request Form and the circled/highlighted pages of your BrokerCheck report to:

 

Registration and Disclosure—Registration Management
FINRA
9509 Key West Avenue
Rockville, MD 20850-3329

 

Note: FINRA will not accept requests sent via facsimile.

 

Questions may be directed to the Gateway Call Center at (301) 590-6500.