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,
We reported in SAA 2019-42 (Nov. 6) that FINRA had filed proposed rule, SR-FINRA-2019-027, on November 5. The SEC has now released that proposal for public comment in SEC Rel.
By George H. Friedman, SAA Editor-in-Chief
FINRA on November 5 filed with the SEC a long-awaited rule amendment that would give investors greater rights when arbitrating with inactive industry parties.
The Neutral Corner, the FINRA Office of Dispute Resolution’s newsletter for neutrals serving its dispute resolution forum, issues now on a quarterly basis;
The SEC voted 3-1 to approve Regulation Best Interest (Reg BI) and three related proposed regulations at an open meeting held June 5.
The SEC will be voting on approving Reg Best Interest and related proposed regulations at an open meeting on June 5.
As our readers and followers know,