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2 years ago

How frequently is a firm required to notify customers regarding how to access brokercheck®?

Business

1 answer:

lara31 [8.8K]2 years ago

4 0

<u>Annually,</u> a firm is required to notify customers regarding how to access BrokerCheck®.

FINRA member firms are required to annually give each of their clients the phone number and website address for BrokerCheck in writing, in accordance with FINRA Rule 2267 (Investor Education and Protection). Additionally, they must yearly notify their clients of the availability of an investor brochure that contains detailed information about BrokerCheck.

What is FINRA or Financial Industry Regulatory Authority's BrokerCheck? It is a free online resource for researching brokers, investment companies, and financial advisors. Investors can find a wide range of information that may be useful in the selection and vetting of a specific financial advice provider or brokerage firm.

Learn more about FINRA rules here: brainly.com/question/26030495

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Which statement best describes the Federal Deposit Insurance Corporation's (FDIC) requirements for auditor independence

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