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 ...

The Financial Industry Regulatory Authority arbitrators grant “straight-in” expungement requests 90% of the time, according to an updated study released Tuesday by the Public Investors Advocate Bar ...

COLUMBIA - Thursday is the first day to petition for record expungements for marijuana offenses after the November passage of Amendment 3. However, Amendment 3's critics worry the expungement process ...

Driven by concerns that it’s been too easy to for brokers to expunge consumer disputes from its records, FINRA is amending its procedures. Customer disputes and complaints from a broker’s disciplinary ...

FINRA's recent reforms to its expungement process, which allows the removal of old customer complaints from a broker's official online records, offer some meaningful improvements to a long-broken ...