By George H. Friedman, SAA Publisher & Editor-in-Chief
The comment period closed December 7 on FINRA’s proposed changes to its expungement rule filing.
By George H. Friedman, SAA Publisher & Editor-in-Chief
We reported briefly in SAA 2022-20 (May 26) that the North American Securities Administrators Association (“NASAA”) on May 20 adopted its Unpaid Customer Arbitration Awards Model Rule.