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.
By Christian Mercado*
The securities industry is an example of one attempting to mitigate equity concerns surrounding arbitration agreements contained in contracts of adhesion.
SEMINAR HIGHLIGHTS: FINRA Arbitration: A Comprehensive Guide for 2020 and Beyond. This Webinar, hosted by The Knowledge Group and staged on August 6, 2020,
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
After SEC approval in late May, FINRA has published Regulatory Notice 20-25 establishing a September 14 effective date for its new fee regime specifically for expungement requests involving customer complaints.