By George H. Friedman, SAA Publisher & Editor-in-Chief
As authorized in March by its Board, FINRA has filed a rule change proposal to conform the Industry Code to the newly-enacted Ending Forced Arbitration of Sexual Assault and Sexual Harassment Act.
FINRA intends to codify its program to expedite administration of cases involving senior or seriously ill parties. As promised, we commissioned a survey on the program’s effectiveness,
By George H. Friedman, SAA Publisher & Editor-in-Chief
In somewhat of a surprise, the Department of Labor (“DOL”) has delayed from December 20 until January 31 enforcement of its fiduciary rule.
By George H. Friedman, SAA Publisher & Editor-in-Chief
It’s been a while since FINRA temporarily withdrew its expungement rule change proposal. We thought it was time to check in.
By George H. Friedman, SAA Publisher & Editor-in-Chief
In what we are certain is a reaction to a flurry of multiple individual arbitrations that relate to the same event,
By George H. Friedman, SAA Publisher & Editor-in-Chief
The SEC has approved an omnibus rule filing strengthening investor protection from at-risk firms and brokers.
