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.
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).
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 &
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.
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,