Get Broker Comment Request Form - Finra

The Broker Comment Request Form allows individuals to submit updates or context to their BrokerCheck report. This guide offers a clear step-by-step approach to filling out the form online, ensuring compliance with FINRA requirements.

Follow the steps to accurately complete the Broker Comment Request Form.

1. Press the ‘Get Form’ button to obtain the form and open it in your preferred editor.
2. Complete Section 1 with your personal information, including first name, middle initial, last name, address, city, state, phone number, zip code, and individual CRD number.
3. In Section 2, indicate which sections of your BrokerCheck report you wish to update or clarify by checking all applicable boxes. Provide comments in the corresponding fields for Broker Qualifications, Registration, Employment History, Other Business/Affiliations, and Disclosure Information.
4. For each disclosure you want to comment on, provide the type and number, the page number on the BrokerCheck report, and your comment regarding that disclosure.
5. In Section 3, review the provided information and confirm your understanding of the terms, including FINRA’s rights regarding the processing of your comments. Ensure you sign and date the form, and print your name clearly.
6. Finalize the form by ensuring that it is notarized and all sections are complete, including any highlighted or circled portions of the BrokerCheck report.
7. Save your changes, and then download, print, or share the completed form as needed.

Complete your documents online and ensure your BrokerCheck report reflects accurate information.