Broker-dealer regulator FINRA has sent out a request for comment on potential changes to BrokerCheck, including the addition of new information as suggested by the SEC.
New information FINRA is exploring adding to the system could include the reason for and comments related to a broker’s termination as well as scores on industry qualification exams. FINRA is also requesting industry input on whether it should provide BrokerCheck information to for-profit companies for commercial use. The comment period ends April 6.
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