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  • Broker Comment Request Form - Finra

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Broker Comment Request Form Individuals who currently are not registered with FINRA, but for whom a BrokerCheck report is available, may submit a Broker Comment Request Form to provide an update or.

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The BrokerCheck dispute process, as defined in FINRA Rule 8312(e), allows eligible individuals and FINRA firms to dispute or update the accuracy of information that is disclosed in their own BrokerCheck reports.

A BrokerCheck Report for a brokerage firm contains: A report summary that provides a brief overview of the firm and its background. A firm profile that describes where and when the firm was established, and lists the people and organizations that own controlling shares or directly influence the firm's daily operations.

BrokerCheck gives you a snapshot of a broker's employment history, regulatory actions, and investment-related licensing information, arbitrations and complaints.

The Broker Comment Process enables eligible individuals to provide an update or additional context to information that is disclosed on their Individual Report in BrokerCheck. On this page you will find information on eligibility, the Broker Comment Request Form and instructions on how to submit a comment.

The Form U4 (Uniform Application for Securities Industry Registration or Transfer) is used to establish that registration. FINRA, other self-regulatory organizations (SROs) and jurisdictions use the Form U4 to elicit employment history, disciplinary and other information about individuals to register them.

FINRA Rule 2210(d)(8) (Communications with the Public) requires a firm to include a readily apparent reference and hyperlink to BrokerCheck on the initial Web page that the firm intends to be viewed by retail investors, and any other webpage that includes a professional profile of one or more registered persons, who ...

b. Consistent with rules, policies and procedures approved by the SEC, FINRA will disclose data on individuals, through BrokerCheck, for ten years after the termination of the individual's FINRA registration and, in certain cases, indefinitely.

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© Copyright 1997-2025
airSlate Legal Forms, Inc.
3720 Flowood Dr, Flowood, Mississippi 39232
Form Packages
Adoption
Bankruptcy
Contractors
Divorce
Home Sales
Employment
Identity Theft
Incorporation
Landlord Tenant
Living Trust
Name Change
Personal Planning
Small Business
Wills & Estates
Packages A-Z
Form Categories
Affidavits
Bankruptcy
Bill of Sale
Corporate - LLC
Divorce
Employment
Identity Theft
Internet Technology
Landlord Tenant
Living Wills
Name Change
Power of Attorney
Real Estate
Small Estates
Wills
All Forms
Forms A-Z
Form Library
Customer Service
Terms of Service
Privacy Notice
Legal Hub
Content Takedown Policy
Bug Bounty Program
About Us
Blog
Affiliates
Contact Us
Delete My Account
Site Map
Industries
Forms in Spanish
Localized Forms
State-specific Forms
Forms Kit
Legal Guides
Real Estate Handbook
All Guides
Prepared for You
Notarize
Incorporation services
Our Customers
For Consumers
For Small Business
For Attorneys
Our Sites
US Legal Forms
USLegal
FormsPass
pdfFiller
signNow
airSlate WorkFlow
DocHub
Instapage
Social Media
Call us now toll free:
+1 833 426 79 33
As seen in:
  • USA Today logo picture
  • CBC News logo picture
  • LA Times logo picture
  • The Washington Post logo picture
  • AP logo picture
  • Forbes logo picture
© Copyright 1997-2025
airSlate Legal Forms, Inc.
3720 Flowood Dr, Flowood, Mississippi 39232