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BrokerCheck Release Notes

Date Feature Description

14 July 2023

Schedule a Call feature

A new “Schedule a Call” link has been added to the top of every BrokerCheck page to enable users to receive telephone assistance from the BrokerCheck Help Line at their convenience.

1 May 2021

Taping Rule Notice for Member Firms

BrokerCheck now identifies member firms subject to the Taping Rule (FINRA Rule 3170), which requires special procedures including tape recording and supervisory review of all telephone conversations between the firm’s registered persons and actual or potential customers.

20 June 2020

Individual BrokerCheck Reports

Investment adviser representative registration and disclosure information is now provided in BrokerCheck reports for registered brokers who are also current or former investment adviser representatives. Previously, this information was only available in the Securities and Exchange Commission’s (SEC) Investment Adviser Public Disclosure (IAPD) system.

20 June 2020

Feedback Button

A new Feedback button has been added to the top of every BrokerCheck page to make it simpler to contact FINRA with questions, concerns or to provide feedback and suggestions on BrokerCheck.