By David E. Robbins[1]
Assuming SEC approval, FINRA’s significant changes to its expungement procedures will be implemented some time this year.
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
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.
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.
FINRA intends to codify its program to expedite administration of cases involving senior or seriously ill parties. As promised, we commissioned a survey on the program’s effectiveness,
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.