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Finra Rule 2263 Form

Finra Rule 2263 Form

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hey everyone its Leila shaver I want to talk to you guys today about FINRA expungements so some of you may know but surprisingly some of you may not have heard and that is that FINRA is attempting to change the rules on brokers obtaining expungements of various disclosures on their u4 so FINRA issued notice to member 17 - 42 which proposed a lot of different changes to how brokers can request expungements to their record for customer complaints there was a public comment period which expired February 5th and now it's in the hands of the SEC to review and approve the rule changes so far that hasn't happened these are not rules that have yet gone into effect but it's also a matter of time as we're seeing that the SEC even though we are in a Republican administration we're not seeing the kind of deregulation that we normally see with a Republican administration and the increase in regulation is actually still happening and we also know that the SEC is putting forth different measures that

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