FINRA has issued a Regulatory Notice seeking comments on proposed Discovery Guide changes requiring production of insurance information.
By Rick Ryder, SAC
Yes, in answer to the title’s question, and the prospect for that to happen has been revived by a FINRA staff initiative,
Firms seem to be complying with a new FINRA rule requiring their Websites to link to BrokerCheck, a decidedly unscientific SAC survey shows.
As we reported in SAA 2016-22,
This proposal (SR-FINRA-2015-034), first filed on September 15 (see SAA 2015-35), has taken an interesting procedural path – one that now appears to be moving to a close.