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SR-FINRA-2020-045

Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure)

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 8312 (FINRA BrokerCheck Disclosure).  The proposed rule change would (1) make information about formerly registered individuals subject to a final regulatory action available through BrokerCheck® on a permanent basis only for those individuals who have been registered on or after August 16, 1999; and (2) exclude information from BrokerCheck about deceased individuals.  The proposed rule change also would make non-substantive, technical changes to FINRA Rule 8312.

Title Format - Size Status
Text of the Proposed Rule Change PDF - 152.48 KB
Federal Register Notice PDF - 244.69 KB