The Blog Of The Securities Industry Professional Association

Archive for July, 2014

Expungement and Amnesty

    Expungement of records being curtailed The SEC recently approved FINRA rule 2081 which severely limits the expungement of broker records in making settlements with customers.   The new rule will no longer allow an expungement of the customer complaint from the broker’s record as a condition for settlement.  On the surface this would appear […]
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