Changes to Expungement Requests

Parties should provide FINRA with the following information for all expungement requests made in cases filed on or after January 1, 2016. This will enable FINRA staff to efficiently process expungement requests:

  1. The CRD number of the party requesting expungement;
  2. The CRD occurrence number(s) which is the subject of the expungement request;
  3. The case name and docket number that gave rise to the disclosure, if applicable;
  4. Whether expungement of the same disclosure item was previously requested, and if so, an explanation of the outcome of that request.

Parties should include all subject CRD occurrence numbers on the first page of the pleading in which they request expungement. Providing this information will ensure the accurate and timely processing of all expungement requests.

NOTE: Failing to provide this information may unnecessarily delay the proceedings.

Individuals with CRD numbers can access their registration and licensing information by requesting an Individual Snapshot Report.