SEC Approves FINRA’S Rule Change Proposal Implementing “Rigged Panels” Investigation Report Recommendations
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By George H. Friedman, SAA Publisher & Editor-in-Chief

The SEC has approved FINRA’s rule change proposal to implement recommendations resulting from the outside investigation of allegations that the arbitrator selection process was rigged.

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FINRA Issues Long-Awaited Regulatory Notice in the Highly Restrictive 2023 Expungement Rule Changes
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By Harry A. Jacobowitz, Esq.

The Notice announces an effective date of October 16, 2023 for the new, restrictive rules, beginning a countdown for the last chance to preserve the opportunity to expunge many customer complaints from the Central Records Depository (CRD).

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Third Circuit Finally Rules on J&J’s Rejection of Shareholders’ Arbitration Proposal
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By George H. Friedman, SAA Publisher & Editor-in-Chief

The issue of shareholder arbitration is in the news again, this time another court decision on Johnson &

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SEC Seems to be Facing a Late June Deadline to Report to Congress on Investor Adviser Arbitration
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By George H. Friedman, SAA Publisher & Editor-in-Chief

By our reckoning, the SEC may be facing a looming late June deadline to report to Congress on investment adviser arbitration.

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

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