SEC’s Division of Examinations Releases 2022 Exam Priorities – Dispute Resolution Again Not on the List
on

By George H. Friedman, SAA Publisher & Editor-in-Chief

The SEC’s Division of Examinations (“DOE”) has issued its exam priorities for 2022. Once again,

...Read More

DOL Delays Fiduciary Rule Enforcement Until End of January
on

By George H. Friedman, SAA Publisher & Editor-in-Chief

In somewhat of a surprise, the Department of Labor (“DOL”) has delayed from December 20 until January 31 enforcement of its fiduciary rule.

...Read More

SEC Approves FINRA Rulemaking Proposal to Protect Against At-Risk Firms and Unpaid Arbitration Awards
on

By George H. Friedman, SAA Publisher & Editor-in-Chief

The SEC has approved an omnibus rule filing strengthening investor protection from at-risk firms and brokers.

...Read More

FINRA Issues Reg Notice on “Do’s and Don’ts” of PDAA Use in Customer Agreements
on

By George H. Friedman, SAA Publisher & Editor-in-Chief

FINRA has issued a Regulatory Notice reminding industry parties on the proper use of predispute arbitration agreements (“PDAA”) in customer account agreements.

...Read More

GAO Report Says Arbitration Has Impacted Servicemember Rights, But to what Extent is Unclear
on

By George H. Friedman, SAA Publisher & Editor-in-Chief

The Government Accountability Office (“GAO”) has released a Report concluding that the presence of predispute arbitration agreements (“PDAA”) has definitely impacted servicemembers in consumer and employment matters,

...Read More

CFPB Consumer Financial Taskforce Issues Report: Hardly a Word About Arbitration
on

 

 

 

 

By George H. Friedman, SAA Publisher & Editor-in-Chief

A CFPB taskforce on consumer financial law issued a massive report in early January,

...Read More