NASAA in early March released its legislative agenda for the new Congress. Arbitration reform is now a key focus.
The 16-page NASAA Legislative Agenda for the 116th Congress has four core principles: 1) Putting Main Street Investors First;
BrokerCheck is a big place to explore, but we had a method: before us were the latest Awards issued by FINRA-ODR and our effort was to see how those Awards were reflected in BrokerCheck.
Our recent coverage in SAA 2019-06 (Feb. 6) on the vagaries of the process of actually implementing a court-ordered expungement has prompted us to research that very issue.
The Dow Jones Industrials ended 2017 at 24,719; at the close of business for 2018, the average had dropped to 23,062, an event not seen in many years.
FINRA’s Board of Governors met December 12-13 and approved two major arbitration-related proposals on non-attorney representatives and expungement guidance.
We reported in SAA 2018-47 (Dec.
FINRA’s Board of Governors was scheduled to meet December 12-13 and consider two arbitration-related proposals according to the posted meeting Agenda.