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Wednesday, June 11, 2014

BrokerCheck disclosures expanded to "Permanently" include any investment-related settlement with a state or foreign financial regulatory authority.


FINRA will soon permanently make publicly available in BrokerCheck, information about former associated persons of a FINRA member firm who were registered on or after August 16, 1999, and who have been the subject of an investment-related civil action brought by a state or foreign financial regulatory authority that was dismissed pursuant to a settlement agreement.  See FINRA Regulatory Notice 14-08.  The amendments are effective June 23, 2014.

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