What the Latest FINRA Amendments to the Codes of Arbitration Procedure Mean for Expungement Requests
As of October 2023, several new changes impacting FINRA’s expungement request process have taken effect. Discuss your concerns with a dedicated and knowledgeable securities law attorney today.
FINRA has made several announcements regarding sweeping changes to many areas of its rules and procedures. Get in touch with a knowledgeable and trusted securities law attorney to learn more about FINRA’s expungement request process.
FINRA’s new rules pose tremendous challenges to financial advisors seeking to have customer disclosures removed from their records. Contact a skilled securities law attorney today to learn more.
FINRA’s New Rules For Expungement Requests Take Effect Soon—Here’s What Financial Advisors Need to Know
The SEC recently reviewed and accepted FINRA’s proposed rule changes to the expungement request process. As of October 16, 2023, these amendments will take effect and reshape the expungement request process. Learn more about these changes today by talking to a securities law attorney.
FINRA arbitration case filings between January and May 2023 show a 37 percent increase from the number of filings during the same five-month period in 2022. Read more about what the latest trends could mean for the securities industry.
With the SEC’s approval of FINRA Rule 4111, FINRA will start disclosing a member firm’s “Restricted” status on BrokerCheck, effective as of June 1, 2023. Read more about how this new rule may impact member firms and individual brokers.
FINRA recently released the latest arbitration case filings and hearing statistics, highlighting a decrease in filings from 2021 to 2022. Reach out to a trusted securities law attorney to learn more about how these trends may impact your expungement request matter.
If you need help removing misleading information from BrokerCheck, you have the right to file an expungement request with FINRA. Talk to a trusted securities law attorney today to learn more about what to expect from the process.
The latest FINRA newsletter dedicated several pages to reminding arbitrators of their responsibility to maintain civility during proceedings. Here’s what financial advisors need to know about how these guidelines could impact expungement requests.
The SEC released its annual summary of all actions brought by the Division of Enforcement over 2022’s fiscal year. As the Division takes a more proactive approach to enforcement, financial advisors and member firms should seek legal counsel as soon as a potential issue arises.