New Overhaul of FINRA Expungement Process Sent to SEC for Approval | Bressler, Amery & Ross, P.C.
On July 29, 2022, FINRA sent a new set of proposed rule changes designed to overhaul the expungement process to the SEC for approval. These proposed rules come as a follow-up to FINRA’s...
Associated Persons Expanded Expungement Behalf Of Requests Requesting Expungement Industry Code Occurrence Number
Source: jdsupra.com