FINRA Issues Regulatory Notice Seeking Comments on Rule Changes To Protect Against At-Risk Firms. Unpaid Arbitration Awards Definitely a Focus!
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FINRA has issued a Regulatory Notice seeking comments on Rule changes aimed at better protecting investors from firms with significant regulatory histories. Arbitration is prominently mentioned throughout.

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FINRA Stats, 3/19: March Case Filings Continue Weak, Leading to a Quarterly YOY Decline of 28%
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New case submissions by customers are down 29% from the first quarter’s tally for 2018 and industry cases have declined 27%. Overall, 830 new cases were filed in the first quarter;

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Back on the Front Burner for NASAA: New Legislative Agenda Has a Heavy Emphasis on Arbitration
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NASAA in early March released its legislative agenda for the new Congress. Arbitration reform is now a key focus.

The 16-page NASAA Legislative Agenda for the 116th Congress has four core principles: 1) Putting Main Street Investors First;

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FINRA Stats, 1/19: The New Year at FINRA-DR Begins with Some Puzzling Twists
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There are some big differences between the way 2018 began at FINRA-ODR and the trends revealed in the recently posted January 2019 statistics.

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Connections: Wandering through BrokerCheck Looking for Links to Arbitration Awards
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BrokerCheck is a big place to explore, but we had a method: before us were the latest Awards issued by FINRA-ODR and our effort was to see how those Awards were reflected in BrokerCheck.

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How Long Does It Take Post-Award To Get Expungement Relief? A Sampling of Cases.
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Our recent coverage in SAA 2019-06 (Feb. 6) on the vagaries of the process of actually implementing a court-ordered expungement has prompted us to research that very issue.

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