Tag: Central Registration Depository

FINRA Seeks to Tighten Rules for Expungement of Customer Dispute Information

1/5/18

By: Theodore C. Peters
What once was a relatively simple process of removing outdated or false information on a registered person’s CRD (Central Registration Depository) record has become increasingly complicated (and expensive) over the years.  Bit by bit, securities regulators …

FINRA Tightens Expungement Requirements

10/12/17

By: Brett C. Safford
On September 25, 2017, the Financial Industry Regulatory Authority (FINRA) issued a “Notice to Arbitrators and Parties on Expanded Expungement Guidance” (hereafter, the “Notice”). The Notice continues the recent pattern of FINRA issuing rules …