Mini-Survey: Seniors Reach Hearing and Award Only Marginally More Quickly Than Customers as a Whole in FINRA Arbitrations
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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,

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DOL Delays Fiduciary Rule Enforcement Until End of January
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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.

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It’s Been More than Three Months Since FINRA Went Back to the Drawing Board on the Expungement Rule. How Long is “Temporary”?
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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.

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AAA Promulgates New Supplementary Procedures for Multiple Case Filings
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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,

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SEC Approves FINRA Rulemaking Proposal to Protect Against At-Risk Firms and Unpaid Arbitration Awards
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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.

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FINRA Goes Back to the Drawing Board on Expungement Rule
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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,

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