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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 commissionHinshaw culbertsonFinancial industry regulatory authorityExisting standardAssociated personStep processCentral registration depositoryExisting expungementChanges applicableAll expungements afterExpungements not affiliated withExisting ongoing dispute

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