2014 Dispute Resolution Notices

June | July

July 2014

Regulatory Notices
14-31 SEC Approves FINRA Rule 2081 Regarding Prohibited Conditions Relating to Expungement of Customer Dispute Information
Effective Date: July 30, 2014
Posted on: 7/30/2014

June 2014

Regulatory Notices
14-27 SEC Approves Amendments to Codes of Arbitration Procedure to Require Redaction of Personal Confidential Information from Documents Filed With FINRA Dispute Resolution
Effective Date: July 28, 2014
Posted on: 6/30/2014