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

More on SCOTUS’ 5-4 Holding in Home Depot that Third-Party Counterclaim Defendants Can’t Remove a Class Action
on

As promised, here’s a more detailed analysis of the Supreme Court’s Home Depot decision that the term “defendant,” as used in the general removal statute and in the class action removal statute,

...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

FINRA Board Meets — Tables Arbitration-Related Rule Proposals
on

FINRA’s Board of Governors met on May 6-7 to consider an array of financial, regulatory and enforcement reports and issues. Prior to this regular meeting of the Board,

...Read More

FINRA Issues Regulatory Notice Seeking Comments on Rule Changes To Protect Against At-Risk Firms. Unpaid Arbitration Awards Definitely a Focus!
on

FINRA has issued a Regulatory Notice seeking comments on Rule changes aimed at better protecting investors from firms with significant regulatory histories. Arbitration is prominently mentioned throughout.

...Read More

Read Our Recent Blog