BrokerDealer Blog » new Finra Rules http://brokerdealer.com/blog Tue, 22 Oct 2019 12:20:21 +0000 en-US hourly 1 https://wordpress.org/?v=3.9.40 SEC New Rules Requiring BrokerCheck Links http://brokerdealer.com/blog/sec-new-rules-requiring-brokercheck-links/ http://brokerdealer.com/blog/sec-new-rules-requiring-brokercheck-links/#comments Fri, 09 Oct 2015 19:42:47 +0000 http://brokerdealer.com/blog/?p=1670 The Securities and Exchange Commission has approved a Finra rule that would require brokerage firms to include a link to a public database containing background information about their brokers on their websites. Under the rule, a brokerage will have to include a “readily apparent reference and hyperlink” to BrokerCheck on a homepage that is initially […]

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]]> The Securities and Exchange Commission has approved a Finra rule that would require brokerage firms to include a link to a public database containing background information about their brokers on their websites.

Under the rule, a brokerage will have to include a “readily apparent reference and hyperlink” to BrokerCheck on a homepage that is initially viewed by retail investors. It also would have to include links to the database on profile pages of individual brokers.

The rule will go into effect no later than 180 days after the SEC approval order is published in the Federal Register. It’s not clear when the order will appear there.

BrokerDealer.com provides the world’s largest database of registered broker-dealers operating across 35 countries worldwide

To read the entire story, published by InvestmentNews.com , please click here

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