By George H. Friedman, SAA Publisher & Editor-in-Chief
It’s been a while since FINRA temporarily withdrew its expungement rule change proposal. We thought it was time to check in.
By George H. Friedman, SAA Publisher & Editor-in-Chief
In what we are certain is a reaction to a flurry of multiple individual arbitrations that relate to the same event,
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.
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.
By George H. Friedman, SAA Editor-in-Chief
No sooner had we reported in SAA 2020-19 (May 20) that FINRA Dispute Resolution Services (“DRS”) had responded to comments on its proposed new fee regime specifically for expungement requests,
We always welcome letters to the editor commenting on current items of interest in the Alert. Here’s one from the editor, suggesting that the FINRA Code of Arbitration Procedure be amended to specifically authorize arbitrators to direct that hearings be held virtually.