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SCOTUS Decides: Dodd-Frank Whistleblower Must Complain to SEC, Not Boss: Digital Realty Trust, Inc. v. Somers
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By Ben Suter

An employee must report to the SEC prior to his or her termination in order to be protected as a “whistleblower” under the Dodd-Frank Act.

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Thirty (30) Ways or More for Party Counsel to Change the FINRA Code
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With the statutory emphasis placed on specific procedures for SRO rulemaking — and with FINRA’s seemingly continuous flow of rule changes, amendments, and interpretations,

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A Late Comment on RN 17-42, Tougher Expungement Procedures: SEC’s Ombudsman and the Office of Investor Advocate Weigh In
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The SEC’s Office of the Investor Advocate and the Commission’s Ombudsman have submitted a somewhat belated comment on FINRA’s proposed amendments to the expungement procedures,

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Beware of Scammers in Regulators’ Clothing, FINRA Says
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The Financial Industry Regulatory Authority has issued an Investor Alert warning that scammers have been defrauding investors by posing as financial regulators.

“Neither FINRA,

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Dodd-Frank Whistleblower Sent to Arbitration in Statutory Anomaly: Daly v. Citigroup Inc. & Citigroup Global Markets, Inc.
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By Jill I. Gross

A whistleblower claim brought pursuant to the Dodd-Frank Act is arbitrable where it is covered by a valid arbitration agreement.

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Hearing Locations: Completing Our Analysis of the FINRA Stats at Year-End 2017
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In this piece, we analyze some of the uses one can make of FINRA’s Hearing Locations table.

Click a link called “table format” above the map of the United States that appears in FINRA-DR’s monthly statistical report on its operations and a “Hearing Locations” table appears on the computer screen.

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