It’s Been More than Three Months Since FINRA Went Back to the Drawing Board on the Expungement Rule. How Long is “Temporary”?
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By George H. Friedman, SAA Publisher & Editor-in-Chief

It’s been a while since FINRA temporarily withdrew its expungement rule change proposal. We thought it was time to check in.

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FINRA Goes Back to the Drawing Board on Expungement Rule
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By George H. Friedman, SAA Publisher & Editor-in-Chief

On the last day for SEC review of FINRA’s latest proposal for improving the expungement process,

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Explained Award: AP Bats .500 on Two Expungement Requests
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An arbitrator grants one request for expungement but denies another, with a multi-paragraph explanation for the latter ruling.

Lombardo v. Joseph Gunnar,

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FINRA Issues Reg Notice Setting September Effective Date for New Minimum Expungement Fees
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By George H. Friedman, SAA Editor-in-Chief

After SEC approval in late May, FINRA has published Regulatory Notice 20-25 establishing a September 14 effective date for its new fee regime specifically for expungement requests involving customer complaints.

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SEC Approves FINRA’s Minimum Expungement Fees Rule Filing
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By George H. Friedman, SAA Editor-in-Chief

No sooner had we reported in SAA 2020-19 (May 20) that FINRA Dispute Resolution Services (“DRS”) had responded to comments on its proposed new fee regime specifically for expungement requests,

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