We use cookies on this site to enable your digital experience. By continuing to use this site, you are agreeing to our cookie policy. close

SEC Bans FINRA Deals Requiring Record Expungements

Law360, New York (July 23, 2014, 5:29 PM EDT) -- The U.S. Securities and Exchange Commission has approved a securities industry rule that bans arbitration settlements between brokers and investors that require the investor to consent to erase the complaint from...
To view the full article, register now.
Law360 Pro Say Podcast
Check out Law360's new podcast, Pro Say, which offers a weekly recap of both the biggest stories and hidden gems from the world of law.