Investor Education and Protection
Once every calendar year, each member firm must provide its customers in writing the FINRA website address, FINRA’s BrokerCheck Hotline Number, and a statement as to the availability of an investor brochure that describes FINRA BrokerCheck.
BrokerCheck is a tool to help investors research the professional backgrounds of current and former FINRA-registered brokerage firms and individual brokers.
Additionally, member firms must provide a current copy of the FINRA Manual for examination by customers upon request. A firm can meet this requirement by maintai