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After Moving at a Snail’s Pace, FINRA’s Proposed Changes to the Membership Program To Encourage Arbitration Award Payment Switch to the Express Lane
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By George H. Friedman, SAA Editor-in-Chief

Back in mid-2017, FINRA’s Board authorized staff to publish a Regulatory Notice seeking comments on a proposal to amend the Authority’s Membership Application Program (“MAP”) rules to create further incentives for the timely payment of arbitration awards.

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FINRA Stats, 12/19: Another Slow Year at FINRA-ODR, in Terms of New Filings
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Take the final tally of 3,757 new case submissions that FINRA Office of Dispute Resolution recorded during the past year, deduct the reported total of some 500 cases for the month of August,

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NASAA’s “E&O Insurance Survey” Makes Case for E&O Insurance as a Treatment for Unpaid Awards 
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Calling it a “key focus for the North American Securities Administrators Association,” NASAA’s Broker-Dealer Section reports, in a 10-page Study released on December 11,

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Very Few Comments on FINRA’s Proposed Inactive Industry Party Arbitration Rule
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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,

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Explained Award: Broker Wins $3 Million Award on Breach of Contract Charges against Former Employer
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We like this Award for a number of reasons, one of which is an Arbitrator dissent that draws a rebuttal from the majority. That dissent was filed by a Public Arbitrator,

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FINRA Stats, 10/19: Reading the “Stats” for a Clue to 2020
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FINRA has published the latest monthly batch of statistics about its Dispute Resolution operations. We all use these statistics for our own purposes; likely,

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