An arbitrator grants one request for expungement but denies another, with a multi-paragraph explanation for the latter ruling.
The period for filing comments and requesting a public hearing closed August 6, with just one hundred comments and no extension or hearing despite a request from Congressional Democrats and others.
By Christine Lazaro, Professor of Law & Clinic Director
St. Johns Law School
This analysis was prepared by SAA Advisory Board Member Prof.
Calling it a “key focus for the North American Securities Administrators Association,” NASAA’s Broker-Dealer Section reports, in a 10-page Study released on December 11,
By George H. Friedman, SAA Editor-in-Chief
Just as the SEC’s Regulation Best Interest was about to go into effect September 10, several states and the District of Columbia sued to stop it.
By George H. Friedman, SAA Editor-in-Chief
The comment period closed July 18 on New Jersey’s proposed fiduciary rule, with somewhat predictable comments.