FINRA Publishes Reg Notice on Rule Change Proposal Implementing Arbitrator Selection Investigation Report Recommendations
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By George H. Friedman, SAA Publisher & Editor-in-Chief

FINRA has published a regulatory notice implementing on March 4 the Authority’s rule change proposal to implement recommendations resulting from the outside investigation of allegations that the arbitrator selection process was rigged.

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SEC Approves FINRA’s Proposed Changes to Non-Attorney Rep Rule
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By George H. Friedman, SAA Publisher & Editor-in-Chief

The SEC has approved FINRA’s proposal to amend the non-attorney representation rules.

As reported in SAA 2023-40 (Oct.

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Few Comments, Mostly Along Party Lines, on Consumer Advocates’ Petition to CFPB Urging it to Write Rule Empowering Consumers to Choose Arbitration Post-Dispute
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By George H. Friedman, SAA Publisher & Editor-in-Chief

The comment period closed recently on the Petition for Proposed Rulemaking filed by a coalition of leading consumer advocacy groups,

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FINRA’s Proposed Changes to Non-Attorney Rep Rule Published – Comments Due November 3
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By George H. Friedman, SAA Publisher & Editor-in-Chief

FINRA’s proposal to amend the non-attorney representation rules has been published in the Federal Register.

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A Primer on Future Expungement Procedure
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By Harry A. Jacobowitz, Esq.

October 16, 2023, the effective date of a number of rule amendments affecting the expungement of customer dispute information,

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Consumer Advocates to CFPB: Write Rule Empowering Consumers to Choose Arbitration Post-Dispute
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By George H. Friedman, SAA Publisher & Editor-in-Chief

A coalition of leading consumer advocacy groups has petitioned the Consumer Financial Protection Bureau (“CFPB”) to promulgate a rule allowing financial consumers the option to arbitrate after a dispute arises.

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