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Securities and Exchange Commission (SEC) › Withdrawal › Broker-Dealer

Paul Hastings LLP

SEC Withdraws 14 Pending Rule Proposals

Paul Hastings LLP on

On June 12, the Securities and Exchange Commission (SEC) formally withdrew 14 proposed rules for investment advisers, broker-dealers and public companies, many of which had been pending for several years. Should the SEC...more

UB Greensfelder LLP

Some Ideas In Response To FINRA’s Recent “Discussion Paper” On Expungement

UB Greensfelder LLP on

FINRA recently published a “Discussion Paper” on expungement of customer dispute information in which it outlines its plans going forward on revising the expungement process. Expungement_Discussion_Paper.pdf (finra.org) (Let...more

UB Greensfelder LLP

FINRA Withdraws Proposed Expungement Rule Changes It Has Worked On For Four Years After Pushback From SEC

UB Greensfelder LLP on

Today FINRA announced in a press release here that it has withdrawn from SEC consideration its proposed rule changes regarding the expungement process. The proposed rule changes were dramatic and included the creation of a...more

Faegre Drinker Biddle & Reath LLP

Best Interest Standard of Care for Advisors #29

Faegre Drinker Biddle & Reath LLP on

On June 15, SEC Chairman Clayton issued a statement partially entitled: “Need for Increased Care when Recommending 401(k)/IRA Rollovers and Withdrawals . . .”. As that title suggests, the Chairman’s statement covers areas...more

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