SEC Solicits Comments on Two Proposed Amendments to FINRA Rule 8312
The SEC published a notice soliciting comments regarding proposed amendments to: FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to (i) include in BrokerCheck information about members and their association persons of any registered national securities exchange that uses the Central Registration Depository ("CRD") for registration purposes, and (ii) expand the categories of civil judicial disclosures that are permanently available in BrokerCheck.
We previously reported these rule filings on November 1and November 4.