FINRA Releases 2020 Risk Monitoring and Exam Priorities. Key Focus is on Reg BI. Arbitration is Again Not on the List
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By George H. Friedman, SAA Editor-in-Chief

FINRA announced its 2020 risk monitoring and exam priorities in a 15-page Risk Monitoring and Examination Priorities Letter,

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District Court Grants TRO in Business Groups’ Challenge to New California Law Restricting Employment PDAA Use and Enforcement
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By George H. Friedman, SAA Editor-in-Chief

Just as it was about to go into effect, a federal judge enjoined the planned January 1,

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FINRA Stats, 10/19: Reading the “Stats” for a Clue to 2020
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FINRA has published the latest monthly batch of statistics about its Dispute Resolution operations. We all use these statistics for our own purposes; likely,

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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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FINRA Stats, 9/19: Big Surge in August Filings Ebbs; Return To Calm Seas
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Remember in August, case filings suddenly shot up to 501 for the month, from an average of about 300 during the first seven months?

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PIABA: BrokerCheck and the Expungement Process Are Broken. Moratorium Needed Now
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By George H. Friedman, SAA Editor-in-Chief

On the eve of its annual meeting October 22 – 25, the Public Investors Advocate Bar Association released a study commissioned by the PIABA Foundation,

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