BrokerCheck Release Notes
DateFeatureDescription
22 November 2024Individual BrokerCheck ReportsBrokerCheck pages for current and former registered brokers now highlight active FINRA registrations, which are required to conduct securities business. Information regarding passed qualification exams has been removed from individual summary pages but remains available in the detailed PDF report.
14 July 2023Schedule a Call featureA 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 2021Taping Rule Notice for Member FirmsBrokerCheck 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 2020Individual BrokerCheck ReportsInvestment 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 2020Feedback ButtonA 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.