SIE: 10.2.10. Investor Education And Protection

Taken from our SIE Online Guide

10.2.10. 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.

Recall that BrokerCheck is a tool to help investors research the professional backgrounds of current and former FINRA-registered brokerage firms and individual brokers.

Through BrokerCheck, FINRA discloses to custom

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