Proposed Rule Change to Amend FINRA Rule 8312 (BrokerCheck Disclosure)

Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to retain and make publicly available in BrokerCheck certain information about former associated persons of a member who were the subject of a final regulatory action as defined in Form U4 that has been reported to the Central Registration Depository (“CRD®” or “CRD System”) via a uniform registration form.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 86.32 KB
Federal Register NoticePDF - 60.16 KB
Extension No. 1PDF - 19.71 KB
Extension No. 2PDF - 23.68 KB
Response to CommentsPDF - 353.51 KB
Extension No. 3PDF - 19.7 KB
Extension No. 4PDF - 23.68 KB
Approval OrderPDF - 69.44 KB