Expungement Update: Few Comments on Amended Proposal. PIABA and NASAA Supportive, But SIFMA Urges Disapproval
Posted by Securities Arbitration Alert Categories Arbitration, Broker-Dealer, Expungement, FINRA Code of Arbitration, NASAA, piaba, Rulemaking, SIFMATags , , , , on December 14, 2022

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.

...Read More