Margin Debt Hits An All-time High of $814 Billion. Any Arbitration Implications?
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By George H. Friedman, SAA Publisher & Editor-in-Chief

Margin debt in February grew to $814 billion, up dramatically from a year ago.

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It Took a While, but the Inactive Industry Party Arbitration Rule has Been Filed with the SEC
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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.

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SEC to Vote on Reg Best Interest June 5
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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,

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SDNY Defines FINRA “Customer” – Again: Deutsche Bank Securities, Inc. v. Roskos
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By Christopher G. Lazarini

Absent an arbitration agreement, a person seeking to compel a FINRA member to arbitrate as its “customer” must (1) have an account with the FINRA member or (2) have purchased goods and services from the FINRA member.

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Second Circuit Allows Municipalities Time to Seek Certiorari in FINRA Rule 12200 Cases
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We blogged last month about Goldman Sachs & Co. vs. Golden Empire Schools Financing Authority, Nos. 13-797 & 13-2247 (2nd Cir.,

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Help Form the FINRA Arbitration Task Force Agenda
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In July, FINRA issued a Press Release announcing that the Authority has formed a new 13-member Arbitration Task Force to make recommendations for improving the forum.

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