Once a year FINRA member firms must provide in writing (which may be electronic) to each customer all of the following items of information except:
- FINRA BrokerCheck phone number
- FINRA website address
- A statement as to the availability to the customer of an investor brochure that includes information describing FINRA BrokerCheck
- The SEC website address
Correct Answer: D. The SEC website address
Once a calendar year, member firms must provide the following to every customer, in writing: The FINRA BrokerCheck phone number, a statement describing the availability of an investor brochure that describes FINRA BrokerCheck, and the FINRA website address. BrokerCheck is a tool to help investors research the professional backgrounds of current and former FINRA-registered brokerage firms and individual brokers.