By George H. Friedman, SAA Editor-in-Chief
A case heard by the Ninth Circuit on February 13 addressed the validity of FINRA’s negative views on class action waivers in employment arbitration agreements.
By George H. Friedman, SAA Editor-in-Chief
Back in mid-2017, FINRA’s Board authorized staff to publish a Regulatory Notice seeking comments on a proposal to amend the Authority’s Membership Application Program (“MAP”) rules to create further incentives for the timely payment of arbitration awards.
FINRA has issued a Regulatory Notice seeking comments on proposed Discovery Guide changes requiring production of insurance information.
We reported in SAA 2018-19 (May 16) that FINRA’s Board of Governors approved at its May 9-10 meeting a proposal to amend the arbitration Discovery Guide.
By Rick Ryder, SAC
Yes, in answer to the title’s question, and the prospect for that to happen has been revived by a FINRA staff initiative,
Firms seem to be complying with a new FINRA rule requiring their Websites to link to BrokerCheck, a decidedly unscientific SAC survey shows.
As we reported in SAA 2016-22,
This proposal (SR-FINRA-2015-034), first filed on September 15 (see SAA 2015-35), has taken an interesting procedural path – one that now appears to be moving to a close.