FINRA Requests Comments on Proposed Amendments Related to the Expungement of Customer Dispute Information.

Last month, FINRA issued Regulatory Notice 17-42 requesting comments and proposing amendments to the procedures relating to the expungement of customer dispute information from the Central Registration Depository (“CRD”) system and FINRA BrokerCheck system.

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Status Report on FINRA Dispute Resolution Task Force Recommendation: February 8, 2017 Status Report

There are several proposals in various stages of the rulemaking process, including a rule that would provide for the expedited resolution of small customer and intra-industry disputes in claims involving $50,000 or less. Another pending rule includes FINRA notifying state securities regulators when brokers make a request for expungement relief.