FINRA’s New Expungement Rules – Balancing Interests But Adding Roadblocks
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By David E. Robbins[1]

Assuming  SEC approval, FINRA’s significant changes to its expungement procedures will be implemented some time this year.

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New York State Court Refuses to Countenance End Run Around FINRA DRS Expungement Denial
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By Harry A. Jacobowitz, Esq.***

A broker’s attempt to vacate an unfavorable New York arbitration decision through forum shopping in Colorado and an effectively uncontested vacatur proceeding,

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Expungement Update: Few Comments on Amended Proposal. PIABA and NASAA Supportive, But SIFMA Urges Disapproval
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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.

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Expungement Update: FINRA Responds to Comments and Files an Amendment; SEC Seeks Comments on Changes and Disapproval
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By George H. Friedman, SAA Publisher & Editor-in-Chief

Those who thought we were nearing the end of the road for FINRA’s proposed changes to the expungement process need to rethink their assumptions.

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Institutional Comments, Mostly Supportive But with All Suggesting Further Modifications, on FINRA’s Proposed Expungement Changes. Individual Industry Commenters Uniformly Oppose the Rule
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By George H. Friedman, SAA Publisher & Editor-in-Chief

The comment period closed earlier this month on FINRA’s proposed changes to the expungement process.

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FINRA Files with SEC Board-Approved Changes to Expungement Rules
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By George H. Friedman, SAA Publisher & Editor-in-Chief

FINRA staff this week followed up on recent Board approval to file a new expungement rule.

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