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.
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.
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,
By George H. Friedman, SAA Publisher & Editor-in-Chief
A CFPB taskforce on consumer financial law issued a massive report in early January,
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.