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SEC Approves FINRA Rule Changes That Make Expungement of Customer Complaints More Difficult | Hinshaw & Culbertson LLP
Recently, the Securities and Exchange Commission (SEC) approved the Financial Industry Regulatory Authority's (FINRA) latest attempt to make expungement of customer disputes harder. The.
Exchange commission
Hinshaw culbertson
Financial industry regulatory authority
Existing standard
Associated person
Step process
Central registration depository
Existing expungement
Changes applicable
All expungements after
Expungements not affiliated with
Existing ongoing dispute
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