FINRA BrokerCheck SurveyBroker Check Survey

Thank you for taking the time to complete our brief survey. Your feedback is important in helping us to continually improve FINRA BrokerCheck. Participation is voluntary and all responses are confidential. Please view our privacy policy for information on the collection and dissemination of personally identifiable information.

1

*Overall, how satisfied were you with your FINRA BrokerCheck experience?

Very Unsatisfied	Unsatisfied	Neutral	Satisfied	Very Satisfied
*Overall, how satisfied were you with your FINRA BrokerCheck experience? Very Unsatisfied	Unsatisfied	Neutral	Satisfied	Very Satisfied

2

*Please rate the following FINRA BrokerCheck features:

	Very Unsatisfied	Unsatisfied	Neutral	Satisfied	Very Satisfied
Ease of navigation	Please rate the following FINRA BrokerCheck features*: Ease of navigation Very Unsatisfied	Ease of navigation Unsatisfied	Ease of navigation Neutral	Ease of navigation Satisfied	Ease of navigation Very Satisfied
Organization of information	Organization of information Very Unsatisfied	Organization of information Unsatisfied	Organization of information Neutral	Organization of information Satisfied	Organization of information Very Satisfied
System response time	System response time Very Unsatisfied	System response time Unsatisfied	System response time Neutral	System response time Satisfied	System response time Very Satisfied
Visual appeal	Visual appeal Very Unsatisfied	Visual appeal Unsatisfied	Visual appeal Neutral	Visual appeal Satisfied	Visual appeal Very Satisfied

3

If you were unsatisfied or very unsatisfied with any of the above features, please describe the reasons for your dissatisfaction.

4

*Please rate FINRA BrokerCheck reports based on the following attributes:

	Very Unsatisfied	Unsatisfied	Neutral	Satisfied	Very Satisfied
Clear / easy to understand	Please rate FINRA BrokerCheck reports* based on the following attributes: Clear / easy to understand Very Unsatisfied	Clear / easy to understand Unsatisfied	Clear / easy to understand Neutral	Clear / easy to understand Satisfied	Clear / easy to understand Very Satisfied
Relevance of information	Relevance of information Very Unsatisfied	Relevance of information Unsatisfied	Relevance of information Neutral	Relevance of information Satisfied	Relevance of information Very Satisfied
Intuitive organization / layout	Intuitive organization / layout Very Unsatisfied	Intuitive organization / layout Unsatisfied	Intuitive organization / layout Neutral	Intuitive organization / layout Satisfied	Intuitive organization / layout Very Satisfied
Completeness or comprehensiveness	Completeness or comprehensiveness Very Unsatisfied	Completeness or comprehensiveness Unsatisfied	Completeness or comprehensiveness Neutral	Completeness or comprehensiveness Satisfied	Completeness or comprehensiveness Very Satisfied

5

If you were unsatisfied or very unsatisfied with any of the above attributes, please describe the reasons for your dissatisfaction.

6

*How useful did you find the FINRA BrokerCheck help resources (e.g., FAQs, glossary and search help)?

Not at all Useful	2	3	4	Very Useful	Did Not Use
How useful did you find the FINRA BrokerCheck help resources* (e.g., FAQs, glossary and search help)? Not at all Useful	2	3	4	Very Useful	Did Not Use

7

What did you like most about FINRA BrokerCheck?

8

What did you like least about FINRA BrokerCheck?

9

*How did you find out about FINRA BrokerCheck?

How did you find out about FINRA BrokerCheck? FINRA BrokerCheck Hotline

Recommended by a friend / colleague

Recommended by my broker

Read about it in a newspaper or magazine

Followed link from another Web page

Search engine (e.g., Google, Yahoo)

Brokerage account statement

Other

10

*What prompted your visit to FINRA BrokerCheck today?

What prompted your visit to FINRA BrokerCheck today? Looking to see what information is available about a broker or firm

Conducting a background check on a broker or firm

Looking for updates to information previously obtained through FINRA BrokerCheck

Other

11

*Which of the following best describes your role as an FINRA BrokerCheck user?

Which of the following best describes your role as an FINRA BrokerCheck user? Bank

Commercial Credit Organization

General Public / Individual Investor

Government / Law Enforcement

Insurance Company

Law Firm

FINRA Member Firm

FINRA Registered Representative

Non-Securities Regulated Entity (e.g., use FINRA BrokerCheck to perform background investigations)

Press

Self-Regulatory Organization

FINRA Staff

Other

12

*How frequently do you use FINRA BrokerCheck?

How frequently do you use FINRA BrokerCheck? This was my first time using FINRA BrokerCheck

Annually

Quarterly

Monthly

Weekly or more

13

*How likely are you to recommend FINRA BrokerCheck to others?

Not Likely	Somewhat Unlikely	Neutral	Somewhat Likely	Likely
How likely are you to recommend* FINRA BrokerCheck to others? Not Likely	Somewhat Unlikely	Neutral	Somewhat Likely	Likely

14

Please provide any suggestions for improvements to FINRA BrokerCheck.

15

*May we contact you for future surveys and / or user testing?

May we contact you for future surveys and / or user testing? Surveys only

User testing only

Both surveys and user testing

No, please do not contact me

16

If we may contact you about future surveys and / or user testing, please provide your email address (e.g., john.smith@finra.org)