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BrokerCheck Release Notes

Date Feature Description

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.