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FINRA CRD Expungement Proposed Rule Change – Broker Alert
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 Procedure to modify the current process relating to the expungement of customer dispute information. See the SEC NoticeRead More
Regulatory Notice 21-09 – Broker Alert
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. If you have unfair disclosure items on your FINRA BrokerCheck Report, then request a free consultation orRead More