By David E. Robbins[1]
Assuming SEC approval, FINRA’s significant changes to its expungement procedures will be implemented some time this year.
By David E. Robbins[1]
Assuming SEC approval, FINRA’s significant changes to its expungement procedures will be implemented some time this year.
By George H. Friedman, SAA Publisher & Editor-in-Chief
FINRA Dispute Resolution Services (“DRS”) has posted case statistics for full-year 2022,
By George H. Friedman, SAA Publisher & Editor-in-Chief
FINRA Dispute Resolution Services (“DRS”) has updated its neutral roster diversity statistics, showing impressive gains in most areas.
SCOTUS Again Declines to Review Case Involving FINRA Award
By George H. Friedman, SAA Publisher & Editor-in-Chief
For the second time in a few months,
By George H. Friedman, SAA Publisher & Editor-in-Chief
FINRA’s Board met in mid-December and among other matters approved changes to the arbitrator listing process.
By George H. Friedman, SAA Publisher & Editor-in-Chief
The comment period closed December 7 on FINRA’s proposed changes to its expungement rule filing.