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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), which governs the information FINRA releases to the public via FINRA’s BrokerCheck® tool, to exclude from release through BrokerCheck the street address of a registered location that is reported and identified to FINRA as a private residence. The proposed rule change would help address privacy and safety concerns raised by broker-dealer firms and their associated persons about the release through BrokerCheck of the full address of an associated person’s private residential registered location.

Title Format - Size Status
Text of the Proposed Rule Change PDF - 1.94 MB
Notice of Filing and Immediate Effectiveness PDF - 246.44 KB New