FINRA Manual: Contents
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2000. DUTIES AND CONFLICTS
2080. Obtaining an Order of Expungement of Customer Dispute Information from the Central Registration Depository (CRD) System
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2081. Prohibited Conditions Relating to Expungement of Customer Dispute
No member or associated person shall condition or seek 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 member's or associated person's request to expunge such customer dispute information from the CRD system.
Adopted by SR-FINRA-2014-020 eff. July 30, 2014.
Selected Notice: 14-31