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,
By George H. Friedman, SAA Publisher & Editor-in-Chief
For the second time in the past few months, SEC Chair Gensler was asked to articulate his views on mandatory securities arbitration,
Our lead Squib in SAA 2021-13 (Apr. 15) reported that margin debt in February grew to a record $814 billion – up dramatically from a year ago – and examined what this might portend for securities arbitration.
By George H. Friedman, SAA Publisher & Editor-in-Chief
The American Arbitration Association recently amended its rules governing international arbitrations and mediations. Here is a succinct analysis.
The period for filing comments and requesting a public hearing closed August 6, with just one hundred comments and no extension or hearing despite a request from Congressional Democrats and others.
By George H. Friedman, SAA Editor-in-Chief
After SEC approval in late May, FINRA has published Regulatory Notice 20-25 establishing a September 14 effective date for its new fee regime specifically for expungement requests involving customer complaints.