FINRA Code of Arbitration Archives - SAA Blog

FINRA’s New Expungement Rules – Balancing Interests But Adding Roadblocks

Posted by Securities Arbitration Alert Arbitration Awards, Expungement, Feature Article, FINRA Code of Arbitration, RegulationExpungement, feature article, Regulatory, Rule Filings on February 20, 2023

By David E. Robbins[1]

Assuming SEC approval, FINRA’s significant changes to its expungement procedures will be implemented some time this year.

FINRA DRS Posts Full-Year 2022 Stats. Customer and Industry Arbitration Claims Closed with a Flourish

Posted by Securities Arbitration Alert Arbitration, Arbitrators, FINRA Code of Arbitration, Mediation, Statistics & SurveysArbitration, FINRA, mediation, Stats on February 1, 2023

By George H. Friedman, SAA Publisher & Editor-in-Chief

FINRA Dispute Resolution Services (“DRS”) has posted case statistics for full-year 2022,

FINRA DRS Updates Panel Diversity Data: Impressive Progress Continues

Posted by Securities Arbitration Alert Arbitrators, FINRA Code of Arbitration, Statistics & SurveysArbitrators, FINRA Code, Stats on January 11, 2023

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

Posted by Securities Arbitration Alert Arbitration Awards, FINRA Code of Arbitration, SCOTUS, Securities ArbitrationArbitration Awards, Award Challenge, Award Confirmation, FINRA Code, Supreme Court on January 10, 2023

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,

FINRA Board Met Last Month. Arbitrator Selection Rule Changes Approved

Posted by Securities Arbitration Alert Arbitrators, FINRA Code of Arbitration, RulemakingArbitrator Classification, FINRA Code, Rulemaking, Securities Arbitration on January 4, 2023

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.

Expungement Update: Few Comments on Amended Proposal. PIABA and NASAA Supportive, But SIFMA Urges Disapproval

Posted by Securities Arbitration Alert Arbitration, Broker-Dealer, Expungement, FINRA Code of Arbitration, NASAA, piaba, Rulemaking, SIFMAArbitration Awards, Broker-Dealer, Expungement, PIABA, Rule Filings on December 14, 2022

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.