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FINRA Issues Regulatory Notice on Customer and Associated Person Access to Its Arbitration Forum
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There was breaking news July 22 at the Annual Meeting of the Securities Experts Roundtable, with FINRA Office of Dispute Resolution Director Richard Berry announcing that the Authority had issued a Regulatory Notice protecting customers’ and associated persons’ right to access its forum.

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FINRA Releases 2014 Regulatory and Exam Priorities – Arbitration Not Explicitly On the List, But It’s There If You Look Hard Enough
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FINRA last week announced its 2014 regulatory and exam priorities, chief among them suitability and bad brokers, in a January 2nd press release that included a link to an 11-page open letter to the securities industry.

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