Investor Use of BrokerCheck Information
Published on:
April 5, 2012
SIFMA provides comments to the Financial Industry Regulatory Authority (FINRA) on ways to facilitate and increase investor use of BrokerCheck information, FINRA Regulatory Notice 12-10. SIFMA believes that the information maintained in BrokerCheck must be accurate, clear, concise, and relevant to the investor, and must be balanced against member firms’ and their employees’ legitimate privacy interests, and expectations of fairness and balance.