SEC Approves FINRA’s Proposed Changes to Non-Attorney Rep Rule
on

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

The SEC has approved FINRA’s proposal to amend the non-attorney representation rules.

As reported in SAA 2023-40 (Oct.

...Read More

Michigan Revises Attorney Conduct Rules to Regulate PDAAs in Retainer Agreements
on

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.

...Read More

FINRA Board Approves Two Arbitration Rulemaking Items
on

FINRA’s Board of Governors met December 12-13 and approved two major arbitration-related proposals on non-attorney representatives and expungement guidance.

We reported in SAA 2018-47 (Dec.

...Read More

FINRA Board Meets This Week; Two Arbitration Rulemaking Items on the Agenda
on

FINRA’s Board of Governors was scheduled to meet December 12-13 and consider two arbitration-related proposals according to the posted meeting Agenda.

...Read More

Post Image
Award Survey: Top BDs of 2017 – Part II: Use of Counsel
on

In SAA 2018-24, we identified the four broker-dealers (BDs) with the largest presence in securities arbitration, with special emphasis on their Customer-Member Awards. This week,

...Read More

Post Image
Analysis of Comments on FINRA ODR Reg Notice 17-34 on Non-Attorney Reps
on

The comment period closed December 18th on the FINRA Office of Dispute Resolution’s (“ODR”) Regulatory Notice seeking comments on non-attorney representatives (“NAR”). With about 60 comments filed,

...Read More