The Securities Arbitration Alert’s publisher and Editor-in-Chief George Friedman sat down recently for a brief 20-15 minute virtual interview with Professor Amy Schmitz of the University of Missouri School of Law and the Center for Dispute Resolution.
Practising Law Institute’s (“PLI”) annual securities arbitration seminar took place via live Webcast on September 10th. Although the pandemic moved the event to a virtual-only format,
SEMINAR HIGHLIGHTS: FINRA Arbitration: A Comprehensive Guide for 2020 and Beyond. This Webinar, hosted by The Knowledge Group and staged on August 6, 2020,
The period for filing comments and requesting a public hearing closed August 6, with just one hundred comments and no extension or hearing despite a request from Congressional Democrats and others.
A Strategic Overview of FINRA Arbitration: Three I’s of Growth
Investment Advisers, Institutional Customers, and International Investors
By Richard P.
By George H. Friedman, SAA Editor-in-Chief
As the June 30 enforcement date of the SEC’s Regulation Best Interest (“Reg BI”) approaches, various preparatory steps are rolling out by the regulators.