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: FinancialCounselChanges To Expungement Rule Seek To Better Protect Customers' And Regulators' Right To Access Complaint Information
By James Eccleston
Recently, the Securities and Exchange Commission (SEC) approved rule changes that the Financial Industry Regulatory Authority (FINRA) had proposed to better protect customers' and regulators' ability to access complaint records of financial advisers. Let's examine these important rule changes.
Full post as published by FinancialCounsel on December 05, 2008 (boomark / email).
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FINRA Board Approves Rule that Codifies Expungement Procedures for Arbitrators
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