On March 10, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 21-09 announcing FINRA’s adoption of new rules to address brokers with a significant history of misconduct and the broker-dealers that employ them, as discussed in the March 12, 2021 edition of Corporate & Financial Weekly Digest). Amendments to FINRA Rule 8312 (FINRA

The Financial Industry Regulatory Authority released Regulatory Notice 15-50, which discusses the Securities and Exchange Commission’s approval of amendments to FINRA Rule 2210 (Communications with the Public). The amendments relate to heightened disclosure standards for references and hyperlinks to the BrokerCheck system on member firm websites. Under the revised rule, member firms’ websites will need to include a readily apparent reference and hyperlink to BrokerCheck.
Continue Reading FINRA Issues Notice on Member Website References and Hyperlinks to BrokerCheck