FINRA’s Board of Governors at its September meeting considered and approved rulemaking on two items of interest to arbitration practitioners.
As announced September 17th on FINRA’s Website,
We have covered extensively FINRA’s proposed new rule that would prohibit conditioning a settlement on a customer’s agreement not to oppose expungement (see,
We’ve previously covered FINRA’s rule change, first proposed in January 2013 (see, e.g., SAA 2013-10), that would require firms to include in websites and other electronic fora a description of BrokerCheck,
We reported last week in SAA 2014-04 on part of FINRA’s response to the letter sent to FINRA Chairman &
FINRA last week announced its 2014 regulatory and exam priorities, chief among them suitability and bad brokers, in a January 2nd press release that included a link to an 11-page open letter to the securities industry.