By George H. Friedman, SAA Publisher & Editor-in-Chief
The North American Securities Administrators Association (“NASAA”) has released for public comment draft model rules to address the lingering problem of unpaid fines and arbitration awards.
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.
We continue here our analysis of FINRA’s recently-published Report, FINRA Perspectives on Customer Recovery, and share news that a Bill has been introduced in the Senate to require FINRA to implement one of the Report’s proposals.
The comment period closed December 18th on the FINRA Office of Dispute Resolution’s (“ODR”) Regulatory Notice on expungement. All commenters generally support the proposed changes,
Just as SAA 2017-39 went to press, we learned that FINRA on October 18th issued Regulatory Notice 17-33, Amendments to the Code of Arbitration Procedure for Customer Disputes to Expand the Options Available to Customers if a Firm or Associated Person is or Becomes Inactive.
The seminar, held at the Practising Law Institute in Manhattan on Wednesday, Sept. 27, from 9 a.m. to 5 p.m., included six segments,