Regulatory Notice 14-19

FINRA Requests Comment on a Revised Proposal to Require a Hyperlink to BrokerCheck in Online Retail Communications With the Public

Comment Period Expires: June 16, 2014

Executive Summary

FINRA seeks comment on a revised proposal to require a hyperlink to BrokerCheck in firms’ online retail communications with the public. The revised proposal includes changes made in response to comments on a prior proposal to amend FINRA Rule 2267 (Investor Education and Protection). The revised proposal would require a firm to include a readily apparent reference and hyperlink to BrokerCheck on each website of the firm that is available to retail investors. In addition, it would require a firm to include a readily apparent reference and hyperlink to BrokerCheck in online retail communications with the public that include a professional profile of, or contact information for, an associated person, subject to specified conditions and exceptions, including exceptions for electronic mail and text messages. The proposed rule is available as Attachment A at www.finra.org/ notices/14-19.

Questions concerning this Notice should be directed to:

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

Related Documents: 

DateTitleFormat - Size
3/29/2015Attachment to Regulatory Notice 14-19PDF - 18.42 KB
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
5/16/2014First Georgetown Securities, Inc.PDF - 46.39 KB
5/21/2014Midwestern Securities Trading Company, LLCPDF - 41.33 KB
6/4/2014Windham Financial Services, Inc.PDF - 46.27 KB
6/3/2014Buckman, Buckman, & ReidPDF - 31.24 KB
6/12/2014Financial Services InstitutePDF - 141.77 KB
6/10/2014Teresa VollenweiderPDF - 16.53 KB
6/13/2014Georgia State UniversityPDF - 147.71 KB
6/13/2014NFP Securities, Inc.PDF - 335.93 KB
6/13/2014Farmers Insurance.PDF - 241.08 KB
6/13/2014Carrie DevorahPDF - 56.51 KB
6/16/2014PIRCPDF - 110.04 KB
6/16/2014Investment Company InstitutePDF - 100.82 KB
6/16/2014Sutherland Asbill & Brennan LLPPDF - 431.26 KB
6/16/2014Charles Schwab & Co., Inc.PDF - 24.65 KB
6/16/2014Alpine Securities CorporationPDF - 36.55 KB
6/16/2014Wells Fargo Advisors, LLCPDF - 119.38 KB
6/16/2014Commonwealth Financial NetworkPDF - 115.85 KB
6/16/2014Public Investors Arbitration Bar Association (PIABA)PDF - 317.58 KB
6/16/2014SIFMAPDF - 71.11 KB
6/16/2014Lincoln Financial Advisors Corp.PDF - 175.52 KB
6/16/2014University of Miami School of LawPDF - 517.21 KB
6/20/2014NASAAPDF - 59.57 KB