Tag: Securities

Overview & Observations Regarding FINRA’s Latest Expungement Reform Proposal

On July 29, 2022, FINRA submitted to the SEC for its approval a new set of rule changes that impose stricter requirements on its process governing the expungement of customer dispute information.[1] FINRA’s current expungement rules provide a procedural mechanism whereby associated persons and Firms can obtain a court order directing FINRA to expunge reference […]

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