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
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
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