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
The SEC has approved an omnibus rule filing strengthening investor protection from at-risk firms and brokers.
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,
By Christine Lazaro, Professor of Law & Clinic Director
St. Johns Law School
This analysis was prepared by SAA Advisory Board Member Prof.
By George H. Friedman, SAA Editor-in-Chief
Back in mid-2017, FINRA’s Board authorized staff to publish a Regulatory Notice seeking comments on a proposal to amend the Authority’s Membership Application Program (“MAP”) rules to create further incentives for the timely payment of arbitration awards.
By George H. Friedman, SAA Editor-in-Chief
The comment period closed December 13 on FINRA’s proposed rule to expand a customer’s arbitration options when firms or APs become inactive,