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 relating to FINRA’s BrokerCheck program. Specifically, the proposed rule change would amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to (1) expand the information released through BrokerCheck, both in terms of scope and time disclosed; and (2) establish a process to dispute the accuracy of (or update) information disclosed through BrokerCheck.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 144.4 KB
Federal Register NoticePDF - 75.44 KB
Extension No. 1PDF - 23.67 KB
Response to CommentsPDF - 116.39 KB
Extension No. 2PDF - 23.67 KB
Approval OrderPDF - 67.75 KB