Comments on FINRA Rulemaking

Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Expand the Categories of Civil Judicial Disclosures Permanently Included in BrokerCheck

Filter comments

Date Received
Date Letter Type Commenter Name
Public Comment Andrea Seidt, President, North American Securities Administrators Association
Public Comment David T. Bellaire, Esq., Executive Vice President and General Counsel, Financial Services Institute, Washington, District of Columbia
Public Comment Jason Doss, President, Public Investors Arbitration Bar Association (PIABA), Atlanta, Georgia
Public Comment Sneha Parmar and Jeffrey Peters, Student Interns, and Elissa Germaine, Supervising Attorney, Pace Investor Rights Clinic, Pace University School of Law

Last Reviewed or Updated: Dec. 18, 2025

File Number
SR-FINRA-2013-048
Release Number
34-70876
How to submit comments