Notice
17 Jun 2025
compliance, sec, regulations, finra, disciplinary actions, expulsions, member firms
⚖️FINRA Proposes Rule Change on Expulsion Effectiveness
The Financial Industry Regulatory Authority (FINRA) proposes a rule change that stays the effectiveness of certain expulsions and related FINRA actions against member firms until reviewed by the SEC. This aligns with legal precedents and aims to enhance clarity and fairness in the discipline of member firms while maintaining investor protection standards.
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