FINRA’s rules surrounding expungement are technical, and the process has become more stringent over time due. Attempting expungement without legal representation often leads to procedural issues. bhseclaw.com/blog/finra-e... #FINRAexpungement #bhseclaw #securitieslawyers #securitiesattorneys

The Cornerstone of Responsibility: FINRA OBA Rule 3270 Defined

FINRA Rule 3270 is the regulatory cornerstone governing non-securities outside employment. It mandates prior written notice to the member firm. bhseclaw.com/blog/finra-o... #OBA #securitiesattorneys #bhseclaw