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SEC Approves FINRA’s Minimum Expungement Fees Rule Filing
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By George H. Friedman, SAA Editor-in-Chief

No sooner had we reported in SAA 2020-19 (May 20) that FINRA Dispute Resolution Services (“DRS”) had responded to comments on its proposed new fee regime specifically for expungement requests,

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Letter from the Editor: Change the Code to Support Virtual Hearings
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We always welcome letters to the editor commenting on current items of interest in the Alert. Here’s one from the editor, suggesting that the FINRA Code of Arbitration Procedure be amended to specifically authorize arbitrators to direct that hearings be held virtually.

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Massachusetts Adopts Fiduciary Regulation
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By Christine Lazaro, Professor of Law & Clinic Director
St. Johns Law School

This analysis was prepared by SAA Advisory Board Member Prof.

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The Inactive Industry Party Arbitration Rule Has Been Released for Public Comment by the SEC
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We reported in SAA 2019-42 (Nov. 6) that FINRA had filed proposed rule, SR-FINRA-2019-027, on November 5. The SEC has now released that proposal for public comment in SEC Rel.

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It Took a While, but the Inactive Industry Party Arbitration Rule has Been Filed with the SEC
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By George H. Friedman, SAA Editor-in-Chief

FINRA on November 5 filed with the SEC a long-awaited rule amendment that would give investors greater rights when arbitrating with inactive industry parties.

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Well, We Are Persistent. Comment Period Ended Mid-July on NJ Fiduciary Proposal. Comments Are Not Posted Online but We’ve Pieced Together an Analysis
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By George H. Friedman, SAA Editor-in-Chief

The comment period closed July 18 on New Jersey’s proposed fiduciary rule, with somewhat predictable comments.

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