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SEC Approves Overhaul of FINRA Expungement Process

On April 12, 2023, the SEC approved FINRA’s proposed expungement overhaul, a process that started in earnest in December 2017. See Release No. 34-97294; File No. SR-FINRA-2022-024. The latest rule changes, which FINRA...more

Private Placement Offerings are on the Rise — Know your Obligations; FINRA Notice 23-08

On May 9, 2023, FINRA issued Regulatory Notice 23-08 (the “Notice”) to remind members of their obligations when selling private placements (i.e., unregistered securities sold pursuant to safe harbors of the Securities Act of...more

FINRA Publishes “Effective Practices” for Obtaining Trusted Contact Information

On December 15, 2022, FINRA issued Regulatory Notice 22-31 (the “Notice”) to emphasize the importance of obtaining trusted contact information, including a list of “effective practices” firms can use to obtain trusted contact...more

FINRA Amends Proposed Expungement Overhaul

In response to its proposed overhaul of the customer complaint expungement process from July 2022, FINRA received 45 comment letters from a variety of sources. According to FINRA, 12 commenters (including investor advocate...more

New Overhaul of FINRA Expungement Process Sent to SEC for Approval

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 original proposal submitted to the SEC...more

FINRA Withdraws Proposed Expungement Rule Changes from SEC Consideration

On September 22, 2020, FINRA sent proposed rule changes designed to overhaul the expungement process to the SEC for approval. On Friday May 28, 2021 – the same day the SEC was slated to adopt or reject the proposal – FINRA...more

Prehearing Issues Raised by Virtual Hearings of FINRA Arbitrations

Originally published in American Bar Association - March 15, 2021. The Financial Industry Regulatory Authority (FINRA) has made significant changes to the arbitration process in response to the COVID-19 pandemic. On March 25,...more

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