Regulatory Notice 12-10

FINRA Requests Comment on Ways to Facilitate and Increase Investor Use of BrokerCheck Information

Comment Period Expired: April 27, 2012
The comment period was extended to April 27, 2012.

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.

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: 
DateCommenterFormat - Size
2/22/2012Investor Fraud AlliancePDF - 42.31 KB
2/24/2012Nelson M. KellyPDF - 32.11 KB
2/24/2012Waddell & Reed, Inc.PDF - 43.91 KB
2/25/2012Wiley Bros. – Aintree Capital LLCPDF - 44.36 KB
2/28/2012Rick CarlsonPDF - 46.15 KB
2/29/2012Steiner & LiboPDF - 19.94 KB
3/1/2012Foresters Equity Services, Inc.PDF - 10.46 KB
2/23/2012Bryan CorbittPDF - 42.74 KB
3/5/2012TippybobPDF - 43.61 KB
3/6/2012Crowell, Weedon & Co.PDF - 82.29 KB
3/7/2012Crowell Weedon & Co.PDF - 45.54 KB
3/7/2012Crowell Weedon & Co.PDF - 41.86 KB
3/9/2012Crowell Weedon & Co.PDF - 40.77 KB
3/8/2012Christine PodolakPDF - 40.51 KB
3/8/2012First Georgetown Securities, Inc.PDF - 77.82 KB
3/8/2012April KvalvikPDF - 58.15 KB
3/8/2012The Sunlight FoundationPDF - 20.41 KB
3/13/2012Planned Investment Co., Inc.PDF - 26.88 KB
3/14/2012Michele M. PerraultPDF - 11.4 KB
3/15/2012Pam FritzPDF - 57.03 KB
3/19/2012Compass Financial, LLCPDF - 13.9 KB
3/19/2012DST Systems, Inc.PDF - 106.6 KB
3/19/2012Cutter & Company, Inc.PDF - 43.33 KB
3/20/2012Lynn C. AppelmanPDF - 43.35 KB
3/22/2012Delta Trust InvestmentsPDF - 13.05 KB
3/23/2012Wulff, Hansen & Co.PDF - 246.82 KB
3/22/2012Thomas Capital Management, LLCPDF - 26.25 KB
3/22/2012David S. EckessPDF - 13.28 KB
3/23/2012Jaimie DavisPDF - 15.77 KB
3/20/2012K. HetzerPDF - 15.03 KB
3/26/2012Abel/Noser Corp.PDF - 25.86 KB
3/28/2012MWA Financial Services, Inc.PDF - 45.09 KB
3/28/2012MWA Financial Services, Inc.PDF - 63.14 KB
3/28/2012David Harrison, EsqPDF - 41.66 KB
3/28/2012Barry D. EstellPDF - 46.41 KB
3/28/2012Dorsey & Co., Inc.PDF - 86.47 KB
3/30/2012Public Investors Arbitration Bar AssociationPDF - 272.97 KB
3/30/2012Dickenson Murphy Rex & SloanPDF - 64.95 KB
3/30/2012Hagan & BurnsPDF - 44.73 KB
4/1/2012Jeffrey A. FeldmanPDF - 35.13 KB
4/2/2012Herbert E. Pounds, Jr.PDF - 17.42 KB
4/4/2012Securities Arbitration Clinic at St. John’s University School of LawPDF - 23.36 KB
4/5/2012Farmers Financial Solutions, LLCPDF - 999.74 KB
4/5/2012The American CollegePDF - 205.47 KB
4/5/2012Regal Bay Investment Group LLCPDF - 25.23 KB
4/5/2012Wells Fargo AdvisorsPDF - 140.93 KB
4/5/2012SIFMAPDF - 299.08 KB
4/6/2012BrightScope, Inc.PDF - 126.33 KB
4/6/2012Tony RistainoPDF - 12.76 KB
4/12/2012Association of Registration Management Inc.PDF - 48.53 KB
4/12/2012Carolyn R. MayPDF - 15.81 KB
4/12/2012Robert C. PortPDF - 31.11 KB
4/18/2012Malecki LawPDF - 4.52 MB
4/19/2012Commonwealth Financial NetworkPDF - 16.19 KB
4/20/2012Aidikoff, Uhl & BakhtiariPDF - 52.09 KB
4/23/2012Keith McCrackenPDF - 20.49 KB
4/25/2012Jonathan W. Evans & AssociatesPDF - 119.1 KB
4/26/2012Cornell University Law SchoolPDF - 209.89 KB
4/26/2012Consumer Federation of AmericaPDF - 74.51 KB
4/27/2012NASAAPDF - 41.72 KB
4/27/2012RegEdPDF - 91.58 KB
4/27/2012PIRCPDF - 30.86 KB
4/27/2012Integrated Management SolutionsPDF - 114.25 KB
4/27/2012Crescent Securities Group, Inc.PDF - 139.55 KB
4/27/2012Russell TravisPDF - 15.79 KB
4/27/2012Financial Services InstitutePDF - 123.78 KB
4/27/2012CFP BoardPDF - 125.68 KB
4/27/2012RW SmithPDF - 73.71 KB
4/27/2012Sutherland Asbill & Brennan LLPPDF - 252.27 KB
4/27/2012Investors Recovery ServicePDF - 329.87 KB
4/30/2012NSCPPDF - 116.41 KB