April

April 2012

Regulatory Notices

12-21 SEC Approves Amendments to Align FINRA Rules With Statutes That Invalidate Predispute Arbitration Agreements for Whistleblower Disputes Effective Date: May 21, 2012 Posted on: 4/20/2012

12-18 FINRA Requests Comment on Proposed New In re Expungement Procedures for Persons Not Named in a Customer-Initiated Arbitration Comment Period Expires: May 21, 2012 Posted on: 4/5/2012