Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Include Information About Members and Their Associated Persons of Any Registered National Securities Exchange that Uses the CRD System for Registration Purposes

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 include in BrokerCheck information about members and their associated persons of any registered national securities exchange that uses the Central Registration Depository (“CRD®”) for registration purposes. The proposed rule change also would make non-substantive technical changes to FINRA Rule 8312 to reflect a change in FINRA’s style convention for referencing the CRD system.

TitleFormat - SizeStatus
Text of Proposed Rule ChangePDF - 68.04 KB
Federal Register NoticePDF - 203.82 KB
Approval OrderPDF - 207.12 KB