SEC Submits Staff Report to Congress on Investment Adviser Arbitration: Bombshells Galore
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 By George H. Friedman, SAA Publisher and Editor-in-Chief*

Just ahead of a late June deadline, the SEC submitted a staff report to the Congress on investment adviser arbitration.

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Expungement Update: Few Comments on Amended Proposal. PIABA and NASAA Supportive, But SIFMA Urges Disapproval
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By George H. Friedman, SAA Publisher & Editor-in-Chief

The comment period closed December 7 on FINRA’s proposed changes to its expungement rule filing.

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Update: More on NASAA Approval of Final Model Rule on Unpaid Awards
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By George H. Friedman, SAA Publisher & Editor-in-Chief

We reported briefly in SAA 2022-20 (May 26) that the North American Securities Administrators Association (“NASAA”) on May 20 adopted its Unpaid Customer Arbitration Awards Model Rule.

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