FINRA Incorporates New Special Proceeding Option for Small Claims Parties into its Operations
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With the new Rule now in effect, we wanted to see how FINRA Dispute Resolution has gone about introducing Claimants to this new innovation and to view,

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FINRA’s Hearing Location Statistics, 9/18: Focusing on Local Chairs and Chair-to-Case Ratios
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Tap a link that says “table format” above the U.S. map of FINRA hearing locations in the FINRA-DR monthly statistical report and you can see just how many arbitrators FINRA can deploy in each of its hearing locations,

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The Midterm Elections are Over: What’s in Store for Arbitration and the Financial Services Field?
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By George H. Friedman*

SAC Contributing Legal Editor and Board of Editors Member

Chairman of the Board – Arbitration Resolution Services 

Adjunct Professor of Law,

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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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