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The SEC recently approved amendments to FINRA Rule 2210 (Communications with the Public) which require broker-dealers to include a readily apparent reference and hyperlink to FINRA BrokerCheck on the initial web page viewed by retail investors, and any other web page that includes a professional profile of one or more registered persons who conduct business with retail investors. The rule amendments creating this new requirement were effective June 6, 2016. The standard “readily apparent” will be determined by several factors such as the placement, font size, and font color of the BrokerCheck link. To help broker-dealers comply with this new Read More....
