FINRA Goes Back to the Drawing Board on Expungement Rule
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By George H. Friedman, SAA Publisher & Editor-in-Chief

On the last day for SEC review of FINRA’s latest proposal for improving the expungement process,

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SCOTUS Grants Certiorari in Badgerow. At Issue: The “Look Through” Standard
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By George H. Friedman, SAA Publisher & Editor-in-Chief

As reported in SAA 2021-19 (May 20), the Supreme Court on May 17 granted Certiorari in a case involving application of the “look-through” standard.

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Remember the FINRA Case Where the Broker Challenged a Zoom Hearing Ordered Over His Objection? It’s Been Awarded
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By George H. Friedman, SAA Publisher & Editor-in-Chief

The arbitration underlying a suit challenging a FINRA Panel’s authority to hold a virtual hearing over a broker’s objection has been awarded. 

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SEC’s Gensler Again Grilled on Mandatory Arbitration
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By George H. Friedman, SAA Publisher & Editor-in-Chief

For the second time in the past few months, SEC Chair Gensler was asked to articulate his views on mandatory securities arbitration,

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***Breaking: FINRA to Resume In-person Hearings in 62 of 69 Hearing Locations Effective July 5
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By George H. Friedman, SAA Publisher & Editor-in-Chief

Independence Day 2021 will be ushered in with a bang for FINRA Dispute Resolution Services (“DRS”) constituents yearning for a return to in-person arbitration and mediation hearings.

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FINRA Issues Reg Notice on “Do’s and Don’ts” of PDAA Use in Customer Agreements
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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.

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