By David E. Robbins[1]
Assuming SEC approval, FINRA’s significant changes to its expungement procedures will be implemented some time this year.
By George H. Friedman, SAA Publisher & Editor-in-Chief
The Consumer Financial Protection Bureau (“CFPB” or “Bureau”) has proposed a new rule seeking information from nonbanks on among other things arbitration and class action waivers.
By George H. Friedman, SAA Publisher & Editor-in-Chief
Michigan has adopted a new rule of attorney professional conduct requiring informed client consent to predispute arbitration agreements (“PDAA”) in retainer agreements.
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,
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.
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.