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SR-FINRA-2014-020

Proposed Rule Change to Adopt FINRA Rule 2081 (Prohibited Conditions Relating to Expungement of Customer Dispute Information)

Financial Industry Regulatory Authority, Inc. ("FINRA") is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to adopt FINRA Rule 2081 to prohibit member firms and associated persons from conditioning or seeking to condition settlement of a dispute with a customer on, or to otherwise compensate the customer for, the customer's agreement to consent to, or not to oppose, the firm's or associated person's request to expunge such customer dispute information from the Central Registration Depository (CRD®).

Title Format - Size Status
Text of Proposed Rule Change PDF - 96.41 KB
Federal Register Notice PDF - 210.48 KB
Response To Comments PDF - 387.56 KB
Approval Order PDF - 213.8 KB