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