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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SEC’s Gensler Again Grilled on Mandatory Arbitration
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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,

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Memories of Margin: An Industry Veteran Reminisces  
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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.

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