FINRA Goes Back to the Drawing Board on Expungement Rule
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By George H. Friedman, SAA Publisher & Editor-in-Chief

On the last day for SEC review of FINRA’s latest proposal for improving the expungement process,

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***Breaking: FINRA to Resume In-person Hearings in 62 of 69 Hearing Locations Effective July 5
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By George H. Friedman, SAA Publisher & Editor-in-Chief

Independence Day 2021 will be ushered in with a bang for FINRA Dispute Resolution Services (“DRS”) constituents yearning for a return to in-person arbitration and mediation hearings.

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FINRA Issues Reg Notice on “Do’s and Don’ts” of PDAA Use in Customer Agreements
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By George H. Friedman, SAA Publisher & Editor-in-Chief

FINRA has issued a Regulatory Notice reminding industry parties on the proper use of predispute arbitration agreements (“PDAA”) in customer account agreements.

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FINRA DRS Posts Stats Through March: Customer Claims Come Roaring Back While Industry Claims Plummet  
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By George H. Friedman, SAA Publisher & Editor-in-Chief

FINRA Dispute Resolution Services (“DRS”) posted case statistics through March with the overall case filing decline unchanged from February,

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FINRA Posts Dispute Resolution Stats Through February: A Decent Month After a Rough Start to the Year
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By George H. Friedman, SAA Publisher & Editor-in-Chief

FINRA Dispute Resolution Services (“DRS”) posted case statistics through February with key metrics starting the year still below 2020’s numbers,

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FINRA Year-end Stats 2020: Average in Some Respects; in Other Ways, a Most Uncommon, Even Unique, Year
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This review of the latest FINRA dispute resolution stats update is provided by Rick Ryder, President of SAC, Inc. and SAC’s ARBchek

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