Skip to search field Skip to main content

Official websites use .gov
A .gov website belongs to an official government organization in the United States.

Secure .gov websites use HTTPS
A lock () or https:// means you’ve safely connected to the .gov website. Share sensitive information only on official, secure websites.

Petition Rule

Request to amend Financial Industry Regulatory Authority ("FINRA") Rules 12904 and 13904 to allow FINRA to cease publication of expunged arbitration awards and to redact identifying information in expunged arbitration awards

Public Comments

View Received Comments

Last Reviewed or Updated: March 11, 2026

Resources

Petition Rule: SEC Issued Version (pdf 225.19 KB)

Letter from the Assistant Secretary to Paul J. Bazil, Esq., Pickard Djinis and Pisarri LLP, dated March 11, 2026

Details

File Number

4-770

Rule Type

Petition

Release Number

4-770

AAER-3736

SEC Issue Date

March 18, 2021

Rules & Regulations

Enforcement & Litigation

Compliance

Request to amend Financial Industry Regulatory Authority ("FINRA") Rules 12904 and 13904 to allow FINRA to cease publication of expunged arbitration awards and to redact identifying information in expunged arbitration awards

Public Comments

Resources

Details

More in this Section

Request to amend Financial Industry Regulatory Authority ("FINRA") Rules 12904 and 13904 to allow FINRA to cease publication of expunged arbitration awards and to redact identifying information in expunged arbitration awards

Public Comments

Resources

Details