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FINRA Issues Reg Notice Seeking Comments on Discovery Guide Change on Insurance
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FINRA has issued a Regulatory Notice seeking comments on proposed Discovery Guide changes requiring production of insurance information.

We reported in SAA 2018-19 (May 16) that FINRA’s Board of Governors approved at its May 9-10 meeting a proposal to amend the arbitration Discovery Guide.

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SEC Discusses “Regulation Best Interest” for BDs and Standards of Conduct for RIAs at Open Meeting: “Reg Status Quo”?
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As we previewed in SAA 2018-14, the five sitting Commissioners of the Securities Exchange Commission held an open meeting April 18 at 3:30 PM on several issues that have begged for consideration for years.

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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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More on FINRA’s Reg Notice on Unpaid Awards
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Just as SAA 2017-39 went to press, we learned that FINRA on October 18th issued Regulatory Notice 17-33, Amendments to the Code of Arbitration Procedure for Customer Disputes to Expand the Options Available to Customers if a Firm or Associated Person is or Becomes Inactive.

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