Explained Award: AP Bats .500 on Two Expungement Requests
on

An arbitrator grants one request for expungement but denies another, with a multi-paragraph explanation for the latter ruling.

Lombardo v. Joseph Gunnar,

...Read More

Comments on DOL’s Fiduciary Rule are Split Pretty Much Along Party Lines
on

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.

...Read More

Massachusetts Adopts Fiduciary Regulation
on

By Christine Lazaro, Professor of Law & Clinic Director
St. Johns Law School

This analysis was prepared by SAA Advisory Board Member Prof.

...Read More

NASAA’s “E&O Insurance Survey” Makes Case for E&O Insurance as a Treatment for Unpaid Awards 
on

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,

...Read More

That Didn’t Take Very Long! Just as Reg BI Goes into Effect, Seven States and DC Sue To Block It
on

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.

...Read More

Well, We Are Persistent. Comment Period Ended Mid-July on NJ Fiduciary Proposal. Comments Are Not Posted Online but We’ve Pieced Together an Analysis
on

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.

...Read More