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:
Date | Commenter | Format - Size |
---|---|---|
2/22/2012 | Investor Fraud Alliance | PDF - 42.31 KB |
2/24/2012 | Nelson M. Kelly | PDF - 32.11 KB |
2/24/2012 | Waddell & Reed, Inc. | PDF - 43.91 KB |
2/25/2012 | Wiley Bros. – Aintree Capital LLC | PDF - 44.36 KB |
2/28/2012 | Rick Carlson | PDF - 46.15 KB |
2/29/2012 | Steiner & Libo | PDF - 19.94 KB |
3/1/2012 | Foresters Equity Services, Inc. | PDF - 10.46 KB |
2/23/2012 | Bryan Corbitt | PDF - 42.74 KB |
3/5/2012 | Tippybob | PDF - 43.61 KB |
3/6/2012 | Crowell, Weedon & Co. | PDF - 82.29 KB |
3/7/2012 | Crowell Weedon & Co. | PDF - 45.54 KB |
3/7/2012 | Crowell Weedon & Co. | PDF - 41.86 KB |
3/9/2012 | Crowell Weedon & Co. | PDF - 40.77 KB |
3/8/2012 | Christine Podolak | PDF - 40.51 KB |
3/8/2012 | First Georgetown Securities, Inc. | PDF - 77.82 KB |
3/8/2012 | April Kvalvik | PDF - 58.15 KB |
3/8/2012 | The Sunlight Foundation | PDF - 20.41 KB |
3/13/2012 | Planned Investment Co., Inc. | PDF - 26.88 KB |
3/14/2012 | Michele M. Perrault | PDF - 11.4 KB |
3/15/2012 | Pam Fritz | PDF - 57.03 KB |
3/19/2012 | Compass Financial, LLC | PDF - 13.9 KB |
3/19/2012 | DST Systems, Inc. | PDF - 106.6 KB |
3/19/2012 | Cutter & Company, Inc. | PDF - 43.33 KB |
3/20/2012 | Lynn C. Appelman | PDF - 43.35 KB |
3/22/2012 | Delta Trust Investments | PDF - 13.05 KB |
3/23/2012 | Wulff, Hansen & Co. | PDF - 246.82 KB |
3/22/2012 | Thomas Capital Management, LLC | PDF - 26.25 KB |
3/22/2012 | David S. Eckess | PDF - 13.28 KB |
3/23/2012 | Jaimie Davis | PDF - 15.77 KB |
3/20/2012 | K. Hetzer | PDF - 15.03 KB |
3/26/2012 | Abel/Noser Corp. | PDF - 25.86 KB |
3/28/2012 | MWA Financial Services, Inc. | PDF - 45.09 KB |
3/28/2012 | MWA Financial Services, Inc. | PDF - 63.14 KB |
3/28/2012 | David Harrison, Esq | PDF - 41.66 KB |
3/28/2012 | Barry D. Estell | PDF - 46.41 KB |
3/28/2012 | Dorsey & Co., Inc. | PDF - 86.47 KB |
3/30/2012 | Public Investors Arbitration Bar Association | PDF - 272.97 KB |
3/30/2012 | Dickenson Murphy Rex & Sloan | PDF - 64.95 KB |
3/30/2012 | Hagan & Burns | PDF - 44.73 KB |
4/1/2012 | Jeffrey A. Feldman | PDF - 35.13 KB |
4/2/2012 | Herbert E. Pounds, Jr. | PDF - 17.42 KB |
4/4/2012 | Securities Arbitration Clinic at St. John’s University School of Law | PDF - 23.36 KB |
4/5/2012 | Farmers Financial Solutions, LLC | PDF - 999.74 KB |
4/5/2012 | The American College | PDF - 205.47 KB |
4/5/2012 | Regal Bay Investment Group LLC | PDF - 25.23 KB |
4/5/2012 | Wells Fargo Advisors | PDF - 140.93 KB |
4/5/2012 | SIFMA | PDF - 299.08 KB |
4/6/2012 | BrightScope, Inc. | PDF - 126.33 KB |
4/6/2012 | Tony Ristaino | PDF - 12.76 KB |
4/12/2012 | Association of Registration Management Inc. | PDF - 48.53 KB |
4/12/2012 | Carolyn R. May | PDF - 15.81 KB |
4/12/2012 | Robert C. Port | PDF - 31.11 KB |
4/18/2012 | Malecki Law | PDF - 4.52 MB |
4/19/2012 | Commonwealth Financial Network | PDF - 16.19 KB |
4/20/2012 | Aidikoff, Uhl & Bakhtiari | PDF - 52.09 KB |
4/23/2012 | Keith McCracken | PDF - 20.49 KB |
4/25/2012 | Jonathan W. Evans & Associates | PDF - 119.1 KB |
4/26/2012 | Cornell University Law School | PDF - 209.89 KB |
4/26/2012 | Consumer Federation of America | PDF - 74.51 KB |
4/27/2012 | NASAA | PDF - 41.72 KB |
4/27/2012 | RegEd | PDF - 91.58 KB |
4/27/2012 | PIRC | PDF - 30.86 KB |
4/27/2012 | Integrated Management Solutions | PDF - 114.25 KB |
4/27/2012 | Crescent Securities Group, Inc. | PDF - 139.55 KB |
4/27/2012 | Russell Travis | PDF - 15.79 KB |
4/27/2012 | Financial Services Institute | PDF - 123.78 KB |
4/27/2012 | CFP Board | PDF - 125.68 KB |
4/27/2012 | RW Smith | PDF - 73.71 KB |
4/27/2012 | Sutherland Asbill & Brennan LLP | PDF - 252.27 KB |
4/27/2012 | Investors Recovery Service | PDF - 329.87 KB |
4/30/2012 | NSCP | PDF - 116.41 KB |