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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.

On this page you will find information on eligibility, the Broker Comment Request Form and instructions on how to submit a comment

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.

How Do You Submit a Broker Comment?

Please either email or mail your request using the contact information below. FINRA will not accept requests sent via facsimile. Be sure to include the following:

  • A completed, signed and notarized Broker Comment Request Form . The form is “fillable” so you may type the necessary information directly into the displayed fields. Save the form to your device/computer before inputting any information as you will need to print, notarize and sign/date the completed form.
  • A copy of the affected pages of your BrokerCheck report (please circle/highlight the appropriate section).

Email:

[email protected]
Note: An electronic signature is not available for this form. If you submit your Broker Comment via email, please print, notarize and sign/date the hardcopy form. The form must then be scanned and attached as a PDF with your email.

Mailing Address:

Registration and Disclosure/Regulatory Services and Operations
ATTN: BrokerCheck Disputes/Comments
9509 Key West Avenue – 3rd Fl
Rockville, MD 20850-3329

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.

Questions?

Contact the Gateway Call Center at (301) 590-6500.