Firms Required to Hyperlink to FINRA’s BrokerCheck Next Year

Posted on December 24th, 2015 at 3:16 PM

From the Desk of Jim Eccleston at Eccleston Law LLC:

In FINRA Regulatory Notice 15-50 issued on December 7th, FINRA announced that the SEC approved amendments to FINRA Rule 2210 (Communications with the Public). The amendment requires that firms include a visible hyperlink to FINRA’s BrokerCheck profile. The hyperlink must be located on the initial webpage that firms intend to be viewed by retail investors and on any other webpages containing the profile of one or more registered representatives who conduct business with retail investors. The amendment will become effective on June 6, 2016.

The rule underscores the growing importance and promotion of FINRA’s BrokerCheck.

 The attorneys of Eccleston Law LLC represent investors and advisers nationwide in securities and employment matters. Our attorneys draw on a combined experience of nearly 65 years in delivering the highest quality legal services.

Related Attorneys: James J. Eccleston

Tags: Eccleston, Eccleston Law, Eccleston Law LLC, Eccleston Law Offices, James Eccleston, FINRA

Return to Archive



You guys are good!

Mike L.


June 30, 2022
FINRA Fines United Planners Over GPB Private Placement Sales

The Financial Industry Regulatory Authority (FINRA) has fined United Planners’ Financial Services of America over negligent sales of private placements issued by GPB Capital Holdings.

June 29, 2022
J.P. Morgan Advisors Ordered To Pay Former Partner $620,000

A Financial Industry Regulatory Authority (FINRA) arbitration panel has ordered a J.P. Morgan team to pay their former partner at least $620,000 over the dissolution of a partnership.

June 28, 2022
JP Morgan Manager Reveals Issues Regarding ESG Loan Pitches

The market for sustainability-linked loans is still severely prone to “greenwashing”, or investing more time and effort into marketing itself as environmentally friendly rather than actually minimizing its environmental impact, according to one of J.P. Morgan’s managers who often helps to sort through debt that is pitched to the company.