BrokerCheck Link Requirements
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. Read More…