Regulatory Notice 15-50

SEC Approves Rule Requiring Members’ Websites to Include a Readily Apparent Reference and Hyperlink to BrokerCheck

Effective Date: June 6, 2016

Executive Summary

The SEC approved amendments to FINRA Rule 2210 (Communications with the Public) to require each of a member firm’s websites to include a readily apparent reference and hyperlink to BrokerCheck on (1) the initial Web page that the firm intends to be viewed by retail investors, and (2) any other Web page that includes a professional profile of one or more registered persons who conduct business with retail investors. The rule amendments become effective June 6, 2016.

The rule text is available in Attachment A.

Questions regarding this Notice should be directed to:

  • Joseph Savage, Vice President, Regulatory Policy, at (240) 386-4534 or by email;
  • Richard E. Pullano, Vice President and Chief Counsel, Registration and Disclosure, at (240) 386-4821 or by email (regarding BrokerCheck); or
  • Jeanette Wingler, Assistant General Counsel, Office of the General Counsel, at (202) 728-8013 or by email.