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.
https://glgesq.com/wp-content/uploads/2017/02/finra-logo-e1487095008232.jpg600900Nancy Ghabaihttps://glgesq.com/wp-content/uploads/2016/10/Ghabai-Law-Logo.pngNancy Ghabai2018-01-29 21:45:242018-04-12 10:30:56FINRA Requests Comments on Proposed Amendments Related to the Expungement of Customer Dispute Information.
https://glgesq.com/wp-content/uploads/2016/10/Ghabai-Law-Logo.png00Nancy Ghabaihttps://glgesq.com/wp-content/uploads/2016/10/Ghabai-Law-Logo.pngNancy Ghabai2017-04-20 11:55:262018-04-12 10:30:56Ghabai Law Group LLC Launches New Firm in Boston’s Financial District Focused on Representing Financial Services Firms and Professionals
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.
https://glgesq.com/wp-content/uploads/2017/02/finra-logo-e1487095008232.jpg600900Nancy Ghabaihttps://glgesq.com/wp-content/uploads/2016/10/Ghabai-Law-Logo.pngNancy Ghabai2017-02-14 19:08:112018-04-12 10:30:56Status Report on FINRA Dispute Resolution Task Force Recommendation: February 8, 2017 Status Report
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FINRA Requests Comments on Proposed Amendments Related to the Expungement of Customer Dispute Information.
/in NewsLast 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.
Ghabai Law Group LLC Launches New Firm in Boston’s Financial District Focused on Representing Financial Services Firms and Professionals
/in NewsBoutique Law Firm Combines Sophisticated Cost-effective Legal Counseling with Sound Practical Judgment And Hands-on Business Experience
Status Report on FINRA Dispute Resolution Task Force Recommendation: February 8, 2017 Status Report
/in NewsThere 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.