FINRA BrokerCheck CRD Expungement Attorney
FINRA CRD Expungement Proposed Rule Change On November 10, 2022, the SEC issued an order instituting proceedings to determine whether to approve or disapprove FINRA’s proposal, as modified by Amendment No. 1, to amend the Codes of Arbitration Read More
Regulatory Notice 21-09 FINRA released Regulatory Notice 21-09 on March 10, 2021 and has announced that the new rules will come into effect on September 1, 2021. The new rules could significantly affect your ability to associate with broker-dealers. Read More
SR-FINRA-2022-024 Comment Letters James P. Galvin’s Second Comment Letter to FINRA’s Proposed Expungement Rule Changes – SR-FINRA-2022-024 James P. Galvin’s Comment Letter to FINRA’s Proposed Expungement Rule Changes – SR-FINRA-2022-024 Addendum to James P. Galvin’s Comment Letter to FINRA’s Proposed Expungement Rule Changes – SR-FINRA-2022-024 Second Addendum to James P. Galvin’s Comment Letter to FINRA’sRead More
SR-FINRA-2022-024 Comment Letters James P. Galvin’s Second Comment Letter to FINRA’s Proposed Expungement Rule Changes – SR-FINRA-2022-024 James P. Galvin’s Comment Letter to FINRA’s Proposed Expungement Rule Changes – SR-FINRA-2022-024 Addendum to James P. Galvin’s Comment Letter to FINRA’s Proposed Expungement Rule Changes – SR-FINRA-2022-024 Second Addendum to James P. Galvin’s Comment Letter to FINRA’sRead More
