In August, we wrote about amendments to the FINRA Rules that made it more expensive for registered representatives to seek expungement of their Central Registration Depository (CRD) records. Last week, in an effort to reform the expungement process even further, FINRA submitted additional proposed rule changes to the U.S. Securities and Exchange Commission (SEC) for […]
The COVID-19 pandemic has forced courts and ADR forums across the country to grapple with how to safely conduct hearings and other in-person proceedings. FINRA began making changes in early March, when it administratively postponed all in-person arbitration and mediation hearings through the end of May. As the pandemic persisted, those postponements were extended. This […]
In light of the COVID-19 pandemic, courts and arbitration tribunals have been forced to grapple with how to safely conduct hearings while ensuring that the results of such hearings stand up to legal challenges. Back in May, we told you about a challenge to a FINRA arbitration award issued in the early days of the […]
On July 20, 2020, the Financial Industry Regulatory Authority (FINRA) issued Notice 20-25, which amends the FINRA rules to require the assessment minimum fees in connection with all expungement requests. FINRA keeps track of broker-dealers’ and registered representatives’ disclosures and administrative information through its Central Registration Depository (CRD). The information found on CRD is provided […]
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