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
on

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.

...Read More

ET TU, MASSACHUSETTS?  SECRETARY GALVIN ANNOUNCES INTENTION TO CRAFT FIDUCIARY RULE
on

ET TU, MASSACHUSETTS?  SECRETARY GALVIN ANNOUNCES INTENTION TO CRAFT FIDUCIARY RULE. Following the leads of Connecticut, Maryland, Nevada, and New Jersey, Massachusetts announced its intention to move ahead with its own fiduciary rule.

...Read More

***Breaking: SEC Approves Reg Best Interest and Related Proposals
on

The SEC voted 3-1 to approve Regulation Best Interest (Reg BI) and three related proposed regulations at an open meeting held June 5.

...Read More

SEC to Vote on Reg Best Interest June 5
on

The SEC will be voting on approving Reg Best Interest and related proposed regulations at an open meeting on June 5.

As our readers and followers know,

...Read More

A Final Assessment of My 2018 Consumer and Employment Arbitration Predictions – Part II
on

By George H. Friedman*

SAC Contributing Legal Editor and Board of Editors Member

Toward the end of last year, I authored a blog post,

...Read More

FINRA Board Approves Two Arbitration Rulemaking Items
on

FINRA’s Board of Governors met December 12-13 and approved two major arbitration-related proposals on non-attorney representatives and expungement guidance.

We reported in SAA 2018-47 (Dec.

...Read More

Read Our Recent Blog