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,
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,
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,