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FINRA Regulatory Notice 23-12 introduces a comprehensive set of amendments to the Codes of Arbitration Procedure, specifically addressing the expungement of customer dispute information. This notice is designed to enhance the integrity and transparency of the process within FINRA’s Dispute Resolution Services (DRS) arbitration forum. The changes are aimed at ensuring that the information available […]
Expunging your FINRA record is a critical question for financial advisors who are subject to an unwanted U5 or CRD disclosure. Financial professionals often face challenges that can harm their records. These marks can damage careers and reputations and prevent advisors from moving between firms in the securities industry. This guide will help you learn […]
Winning Strategies for Expunging Your FINRA Record Introduction Having a blemish on your FINRA record can have serious consequences for your career as a financial advisor. Such marks can affect your ability to gain new clients, secure employment opportunities, and maintain a positive reputation in the industry. However, there are strategies you can employ to […]
U.S. stocks could face a significant downturn, potentially dropping by 10% to 13% this year, primarily due to a selloff in seven mega-cap stocks that have previously driven broader market gains. These seven stocks, collectively known as the “Magnificent Seven,” include Microsoft (MSFT), Apple (AAPL), Alphabet (GOOGL), Amazon (AMZN), Nvidia (NVDA), Meta Platforms (META), and […]
Recently, seven prominent technology companies have become extremely dominant in the stock market. They are known as the “Magnificent Seven” or “Magnificent 7”. These stocks, like Apple and Microsoft, are extremely popular and traded often. They have gained a lot in the market in recent years. These stocks have attracted the interest of investors worldwide. […]