{"id":1031,"date":"2012-03-08T11:55:36","date_gmt":"2012-03-08T11:55:36","guid":{"rendered":"https:\/\/www.stockbrokerfraudblog.com\/2012\/03\/finra_may_surrender_proprietar_1"},"modified":"2022-03-09T16:14:05","modified_gmt":"2022-03-09T22:14:05","slug":"finra-may-surrender-proprietar-1","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/finra-may-surrender-proprietar-1\/","title":{"rendered":"FINRA May Surrender Proprietary BrokerCheck Lock 1"},"content":{"rendered":"

\t\t\t\tThe Financial Industry Regulatory Authority Inc. is thinking of giving up its proprietary lock on BrokerCheck information. This would allow for greater examination of a broker’s disciplinary data, including regulatory and arbitration<\/a> actions, as well as customer complaints. The SRO is currently seeking public comment on this matter through April 6.<\/p>\n

Opening up access to BrokerCheck data would allow commercial users to make the reports, known for being pretty dense, friendlier for users. (Some people have said that the information available is “convoluted” and uses language that can be hard for an investor to comprehend.) This could help investors more easily find information about a broker. Also, vendors might be able to establish comparison data and some complaint data on the firm-level could become accessible.<\/p>\n

Up until this point, FINRA has been protective about keeping its disciplinary information confidential. Not only has it prevented the automatic downloading of the BrokerCheck database, but also, this information has only been available through one-off data requests by individuals.<\/p>\n

Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

The Financial Industry Regulatory Authority Inc. is thinking of giving up its proprietary lock on BrokerCheck information. This would allow for greater examination of a broker’s disciplinary data, including regulatory and arbitration actions, as well as customer complaints. The SRO is currently seeking public comment on this matter through April 6. Opening up access to […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3774,3739],"tags":[2536],"class_list":["post-1031","post","type-post","status-publish","format-standard","hentry","category-broker-dealers","category-finra","tag-investor-protection"],"yoast_head":"\nFINRA May Surrender Proprietary BrokerCheck Lock 1 — Investor Lawyers Blog — March 8, 2012<\/title>\n<meta name=\"description\" content=\"Opening up access to BrokerCheck data would allow commercial users to make the reports, known for being pretty dense, friendlier for users.\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.investorlawyers.com\/blog\/finra-may-surrender-proprietar-1\/\" \/>\n<meta name=\"twitter:card\" 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