[Webinar] FINRA Expungement: Rule Changes and Updates - February 9th, 2:00 pm - 2:30 pm EST

Ulmer & Berne LLP
February 9th, 2021
2:00 PM - 2:30 PM EST

Join Christopher D. Seps as he discusses the rule changes that recently took effect related to FINRA’s expungement process, as well as proposed changes that will likely be approved and take effect in 2021. These changes relate to the expungement of customer complaints from a broker’s CRD record.

CLE Credit + On Demand: This webinar is pending approval for 30 minutes of CLE credit in Illinois, Kentucky, and Ohio for the live and on-demand viewings.

For an optimal at-home viewing experience, it is highly recommended that viewers watch directly from their home WiFi connection and log out of any work terminal.

Questions? Contact:
Abi Humphrey, Events Manager

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

© Ulmer & Berne LLP | Attorney Advertising


Ulmer & Berne LLP

Ulmer & Berne LLP on:

Reporters on Deadline

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
Custom Email Digest
- hide
- hide

This website uses cookies to improve user experience, track anonymous site usage, store authorization tokens and permit sharing on social media networks. By continuing to browse this website you accept the use of cookies. Click here to read more about how we use cookies.