The amendments require FINRA members to update their retail websites to include readily apparent references and hyperlinks to BrokerCheck.
On October 8, 2015, the Securities and Exchange Commission (SEC) approved a proposed rule change to amend Financial Industry Regulatory Authority, Inc. (FINRA) Rule 2210 (Rule 2210) to require FINRA members’ websites to include a readily apparent reference and hyperlink to BrokerCheck on: (1) the initial webpage that the member intends retail investors to view; and (2) any other webpage that includes a professional profile of one or more registered persons conducting business with retail investors. The requirements do not apply to FINRA members that do not provide products or services to retail investors, or to a directory or list of registered persons limited to names and contact information.
Please see full publication below for more information.
