FINRA Publishes Reg Notice on Rule Change Proposal Implementing Arbitrator Selection Investigation Report Recommendations
on

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

FINRA has published a regulatory notice implementing on March 4 the Authority’s rule change proposal to implement recommendations resulting from the outside investigation of allegations that the arbitrator selection process was rigged.

...Read More

FINRA DRS Posts Stats Through August. A Strong Year in Arbitration Filings Continues, But is Definitely Slowing Down a Bit
on

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

FINRA Dispute Resolution Services (“DRS”) has posted case statistics through August, with trends continuing to show a comparatively strong year in arbitration filings – especially industry cases – and a continued drop-off in mediations.

...Read More

SEC Approves FINRA’S Rule Change Proposal Implementing “Rigged Panels” Investigation Report Recommendations
on

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.

...Read More

June Marks One Year Anniversary of “Rigged Panels” Investigation Report
on

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

It’s been a year since the publication of recommendations resulting from the outside investigation of allegations that the FINRA arbitrator selection process was rigged.

...Read More

FINRA DRS Updates Panel Diversity Data: Impressive Progress Continues
on

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

FINRA Dispute Resolution Services (“DRS”) has updated its neutral roster diversity statistics, showing impressive gains in most areas.

...Read More

SEC Approves FINRA Chair Honoraria Increases
on

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

The SEC has approved a FINRA proposal increasing certain Chairperson honoraria.

We reported in SAA 2019-48 (Dec.

...Read More