An Interview with Our Publisher and Editor-in-Chief
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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.

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PLI’s “Securities Arbitration 2020” – A New Medium, But the Same Great Content
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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,

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Seminar Highlights: “FINRA Arbitration: A Comprehensive Guide for 2020 and Beyond”
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SEMINAR HIGHLIGHTS: FINRA Arbitration: A Comprehensive Guide for 2020 and Beyond. This Webinar, hosted by The Knowledge Group and staged on August 6, 2020,

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Comments on DOL’s Fiduciary Rule are Split Pretty Much Along Party Lines
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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.

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A Strategic Overview of FINRA Arbitration: Three I’s of Growth – Investment Advisers, Institutional Customers, and International Investors
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A Strategic Overview of FINRA Arbitration: Three I’s of Growth

Investment Advisers, Institutional Customers, and International Investors

By Richard P.

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CFP Board Issues New Procedural Rules Supporting June 30 Enforcement of Final Fiduciary Rule. And FINRA Is Gearing Up for Reg BI
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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.

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