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More on FINRA’s Report on Unpaid Customer Awards. Sen. Warren Introduces Bill To Compel Implementation of One of the Ideas; PIABA Agrees
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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.

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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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Analysis of (the Few) Comments on FINRA ODR Reg Notice 17-33 on Unpaid Awards
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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,

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Analysis of Comments on FINRA ODR Reg Notice 17-34 on Non-Attorney Reps
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The comment period closed December 18th on the FINRA Office of Dispute Resolution’s (“ODR”) Regulatory Notice seeking comments on non-attorney representatives (“NAR”). With about 60 comments filed,

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Independent Proceedings for Expungement Relief Must Await the Conclusion of the Merits Proceeding
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Directly after the first announcement, which came from FINRA-DR officials at the September 27 PLI Seminar, “Securities Arbitration 2017,” the Authority issued an update to its Expanded Expungement Guidance,

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