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SR-FINRA-2015-022

Proposed Rule Change to Amend FINRA Rule 2210 (Communications with the Public) to Require Hyperlink to BrokerCheck on Member Websites

Financial Industry Regulatory Authority, Inc. ("FINRA") is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend FINRA Rule 2210 to require each of a member's websites to include a readily apparent reference and hyperlink to BrokerCheck on: (i) the initial webpage that the member intends to be viewed by retail investors; and (ii) any other webpage that includes a professional profile of one or more registered persons who conduct business with retail investors.  These requirements would not apply to a member that does not provide products or services to retail investors, or to a directory or list of registered persons limited to names and contact information.

Title Format - Size Status
Text of Proposed Rule Change PDF - 6.46 MB
Federal Register Notice PDF - 238.26 KB
Extension No. 1 PDF - 67.32 KB
Response to Comments PDF - 287.69 KB
Approval Order PDF - 181.26 KB