FINRA has published the latest monthly batch of statistics about its Dispute Resolution operations. We all use these statistics for our own purposes; likely,
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.
Remember in August, case filings suddenly shot up to 501 for the month, from an average of about 300 during the first seven months?
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,
By George H. Friedman, SAA Editor-in-Chief
Just days after being cued up for a possible vote, the Forced Arbitration Injustice Repeal (FAIR) Act of 2019 was approved by the House of Representatives on September 20 by a mostly party-line vote.
By George H. Friedman, SAA Editor-in-Chief
Just as the SEC’s Regulation Best Interest was about to go into effect September 10, several states and the District of Columbia sued to stop it.