On December 14, from 12:00 pm to 1:00 pm EST, a webinar will be held to clarify and explain the recent amendments made by the Financial Industry Regulatory Authority (FINRA) regarding expunging customer dispute information. The webinar is hosted by seasoned law professional Michael J. Charlillo and is particularly noteworthy for legal professionals in corporate law enforcement, as it is expected to demystify the changes and provide practical insights into evolving FINRA compliance requirements.
Michael J. Charlillo will discuss the latest enhancements to the FINRA expungement process, including the changes implemented when making requests and obtaining expungement of customer dispute information. Understanding these changes is crucial for legal professionals, especially those who represent or advise financial institutions and individuals in the finance industry.
In addition to process changes, Charlillo will review new requirements structured for seeking expungement in a customer arbitration context as well as in a "straight-in" expungement request. Sound understanding of these requirements could provide a strategic advantage to legal professionals dealing with issues related to finance regulation and compliance.
Finally, Charlillo will identify practical considerations for both firms and associated persons regarding requests for expungement. These insights aim to arm corporate legal professionals with knowledge to better navigate the requirements and implications of process changes.
This is an invaluable opportunity for corporate legal professionals to stay abreast of these recent FINRA amendments and update their practice accordingly. For further details and registration, you can access the webinar’s pages directly from JDSupra.