Guidelines for Broker Comments on BrokerCheck
The Broker Comment Process enables eligible individuals to provide an update or additional context to information that is disclosed on their Individual Report in BrokerCheck.
Who Can Submit a Broker Comment?
An individual who currently is not registered, but for whom a BrokerCheck report is available, may submit a request to add a Broker Comment that provides an update or adds context to information disclosed through BrokerCheck. Individuals who currently are registered and wish to provide an update or add context to information disclosed through BrokerCheck may do so by filing an amended Form U4 via Web CRD.
What are the Eligibility Criteria for a Broker Comment?
FINRA will review the comment and reserves the right to reject or redact a comment that it deems to be inappropriate or does not adhere to the following criteria:
- The individual submitting the comment is not currently registered.
- The comment pertains to the BrokerCheck report of the individual submitting the request.
- The comment addresses information disclosed through BrokerCheck.
- The comment is written in the first person narrative point of view to minimize any potential confusion on the part of the reader.
- The comment does not contain confidential or identifying information about customers or others; offensive or potentially defamatory language; or information that raises significant identity theft, personal safety or privacy concerns.
Please email your request using the contact information below. Be sure to include the following:
- A complete, signed Broker Comment Request Form.
- All available supporting documentation.
An electronic signature is not available for this form; however, the form is “fillable,” so you may type the necessary information directly into the displayed fields. We recommend the following steps to complete and submit the form:
- Save the form to your device/computer before typing any information as you will need to print and sign/date the completed form.
- Complete the form.
- Print, sign and date the hardcopy form.
- After completing, scan and attach as a PDF along with any supporting documentation to your email.
Please email your comment form and documentation to: [email protected]
What Happens After the Review?
Broker Comments that meet FINRA’s criteria generally will be posted to BrokerCheck within 30 business days of receipt. The comment will be displayed as long as an individual’s BrokerCheck report is available to the public.
What if I want to change the Broker Comment or if I Register with a Firm?
An individual may replace or delete a previously submitted comment by submitting a new Broker Comment Request Form.
If an individual becomes registered with FINRA, a previously posted Broker Check comment will no longer display through BrokerCheck, and the individual may provide any information that was the subject of the Broker Comment via a Form U4.
Contact the Gateway Call Center at (301) 590-6500.