FINRA Issues Notice Regarding Revised Proposal to Require a Hyperlink to BrokerCheck in Online Retail Communications with the Public (Regulatory Notice 14-19)

FINRA issued a regulatory notice requesting comments on a revised proposal that would require a hyperlink to BrokerCheck in online retail communications that are produced by a FINRA member firm.

The revised proposal includes changes made in response to comments on a prior proposal to amend FINRA Rule 2267 ("Investor Education and Protection"). Specifically, the revised proposal would require a firm to include a "readily apparent" reference and hyperlink to BrokerCheck on each of the firm's Web sites that are available to retail investors. In addition, it would require a firm to include a "readily apparent" reference and hyperlink to BrokerCheck in online retail communications with the public that included a professional profile of, or contact information for, an associated person.

Comments on the revised proposal must be received by June 16, 2014.

See: Regulatory Notice 14-19; Proposed Rule.
Related news: Proposed Rule Change to Amend FINRA Rule 2267 (Investor Education and Protection) (January 7, 2013); SIFMA Comments to FINRA on Requiring Hyperlinks to BrokerCheck on the Internet (February 21, 2013).