SEC Delays Decision on Banning Broker Wrongdoing Expungements - Professional Financial Advisor

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SEC Delays Decision on Banning Broker Wrongdoing Expungements

Friday, Jun 20 2014

News Roundup

Written by PFA News

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The Securities and Exchange Commission has postponed voting on a rule that would ban brokers from requiring clients to allow expungement of wrongdoing from public records as a condition of settling disputes. So reports Law360.

The 45-day delay moves the date for a final decision on the matter to July 22.

Read the full article from Law360.

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