OVERVIEW In December, the Financial Industry Regulatory Authority (“FINRA”) issued Regulatory Notice 17-42, requesting comment on proposed changes to the expungement process for customer dispute information.  Through requests for expungement, associated persons seek to remove allegations made by customers from the Central Registration Depository (“CRD”) and from FINRA’s publicly-accessible BrokerCheck system (which draws information from […]

An amendment to FINRA Rule 2210 (Communications with the Public) has taken effect as of June 6, 2016.  Originally announced in Regulatory Notice 15-50, the amendment adds new sections (d)(8)(A) and (B) to the rule, requiring member firms to include “a readily apparent reference and hyperlink to BrokerCheck” on certain web pages intended to be viewed […]

In these days, it is doubtful that any child may reasonably be expected to succeed in life if he is denied the opportunity of an education. Brown vs. Board of Education, 347 U.S. 483, 493 (1954) The Supreme Court’s landmark decision in the case of Brown vs. Board of Education paved the way for historic […]