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Ninth Circuit Hears Oral Argument in Case Challenging FINRA’s Class Action Waiver Prohibition in Employment
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By George H. Friedman, SAA Editor-in-Chief

A case heard by the Ninth Circuit on February 13 addressed the validity of FINRA’s negative views on class action waivers in employment arbitration agreements.

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After Moving at a Snail’s Pace, FINRA’s Proposed Changes to the Membership Program To Encourage Arbitration Award Payment Switch to the Express Lane
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By George H. Friedman, SAA Editor-in-Chief

Back in mid-2017, FINRA’s Board authorized staff to publish a Regulatory Notice seeking comments on a proposal to amend the Authority’s Membership Application Program (“MAP”) rules to create further incentives for the timely payment of arbitration awards.

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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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Should FINRA Have an Automatic Mediation Process With the Option to Opt Out?
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By Rick Ryder, SAC

Yes, in answer to the title’s question, and the prospect for that to happen has been revived by a FINRA staff initiative,

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Mini-Survey Shows Firms Are Implementing Rule Requiring Link To FINRA’s BrokerCheck
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Firms seem to be complying with a new FINRA rule requiring their Websites to link to BrokerCheck, a decidedly unscientific SAC survey shows.

As we reported in SAA 2016-22,

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FINRA Responds to Comments on Proposal To Merge FINRA-DR into FINRA Regulation
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This proposal (SR-FINRA-2015-034), first filed on September 15 (see SAA 2015-35), has taken an interesting procedural path – one that now appears to be moving to a close.

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