How do the requirements of Rule 2080 differ from the procedures used to request expungement under the moratorium?
Under Rule 2080, members and associated persons still must obtain a court order directing expungement or confirming an arbitration award containing an expungement directive. In addition, Rule 2080 requires that FINRA be named as a party to the court proceedings, and be served with all appropriate documents, unless FINRA waives that requirement. To obtain FINRA’s waiver, the party seeking expungement must follow the steps outlined below in response to Question No. 7.
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