Laura Pizzitola

Laura Pizzitola

Bressler, Amery & Ross, P.C.

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SEC Approves Overhaul of FINRA Expungement Process

On April 12, 2023, the SEC approved FINRA’s proposed expungement overhaul, a process that started in earnest in December 2017. See Release No. 34-97294; File No. SR-FINRA-2022-024. The latest rule changes, which FINRA...more

5/22/2023  /  Arbitration , Expungement , Financial Industry Regulatory Authority (FINRA) , Financial Institutions , Financial Services Industry , Securities and Exchange Commission (SEC)
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