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.
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,