{"id":1724,"date":"2015-10-10T11:44:59","date_gmt":"2015-10-10T11:44:59","guid":{"rendered":"https:\/\/www.stockbrokerfraudblog.com\/2015\/10\/sec_approves_rule_requiring_fi"},"modified":"2022-04-04T12:41:47","modified_gmt":"2022-04-04T17:41:47","slug":"sec-approves-rule-requiring-fi","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/sec-approves-rule-requiring-fi\/","title":{"rendered":"SEC Approves Rule Requiring Firms, Brokers Link to BrokerCheck"},"content":{"rendered":"

Over two years after it was initially proposed, a FINRA rule requiring that broker-dealers include a link to the self-regulatory organization’s BrokerCheck database has been approved by the Securities and Exchange Commission. The rule slated to go into effect, at the latest, at 180 days after the FINRA regulatory notice is published in the Federal Register. The deadline for publishing the notice is December 7, 2015.<\/p>\n

Per the rule, a brokerage firm will have to include an obvious reference and hyperlink to the front page of FINRA’s BrokerCheck.com. Links to BrokerCheck would also have to be included on the profile pages of each broker.<\/p>\n

FINRA has been trying to make retail investors more aware that BrokerCheck exists. The online database includes the work history of every registered broker, where they are registered, and other information, such as if they’ve been subject to disciplinary measures or named on previous securities cases.<\/p>\n

A previous version of the proposed rule had called for LinkedIn and Twitter profiles of brokers to also include links back to BrokerCheck. However, rather than link directly to that home page, the hyperlink would have taken an investor to the BrokerCheck profile of a particular representative. Many in the industry, however, were strongly opposed to that mandate.
\n Continue Reading \u203a<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"

Over two years after it was initially proposed, a FINRA rule requiring that broker-dealers include a link to the self-regulatory organization’s BrokerCheck database has been approved by the Securities and Exchange Commission. The rule slated to go into effect, at the latest, at 180 days after the FINRA regulatory notice is published in the Federal […]<\/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":[3773,3774,3739],"tags":[],"class_list":["post-1724","post","type-post","status-publish","format-standard","hentry","category-broker-fraud","category-broker-dealers","category-finra"],"yoast_head":"\nSEC Approves Rule Requiring Firms, Brokers Link to BrokerCheck — Investor Lawyers Blog — October 10, 2015<\/title>\n<meta name=\"description\" content=\"Over two years after it was initially proposed, a FINRA rule requiring that broker-dealers include a link to the self-regulatory organization's — October 10, 2015\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" 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