GPB Capital

Informations générales

FINRA staff will provide the States where the individual is registered, or is seeking to be registered, with a copy of the waiver request and any accompanying documents. FINRA staff will review the information to determine whether the award complies with FINRA Rule 12805 and FINRA Rule 13805, and whether the CRD Expungement relief was awarded based on one or more of the standards in FINRA Rule 2080. Provided that the award reflects compliance with the rules, and contains an affirmative finding that the expungement meets one or more of the standards in FINRA Rule 2080, FINRA staff will generally grant the waiver.