Explained Award Features Settlement and Hearing, Dismissal of Claims and Expungement Dissent
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For this case to unravel the way it did required that the Claimants pursue both the brokers and the firm as Respondents. That’s not terribly common in FINRA arbitration,

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ET TU, MASSACHUSETTS?  SECRETARY GALVIN ANNOUNCES INTENTION TO CRAFT FIDUCIARY RULE
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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.

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***Breaking: SEC Approves Reg Best Interest and Related Proposals
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The SEC voted 3-1 to approve Regulation Best Interest (Reg BI) and three related proposed regulations at an open meeting held June 5.

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SEC to Vote on Reg Best Interest June 5
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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,

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Warren to FINRA: What’s Happening on Expungement Changes?
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Senator Elizabeth Warren has written to FINRA inquiring about the status of Board-approved changes on expungement.

We reported in SAA 2018-48 (Dec.

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How Long Does It Take Post-Award To Get Expungement Relief? A Sampling of Cases.
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Our recent coverage in SAA 2019-06 (Feb. 6) on the vagaries of the process of actually implementing a court-ordered expungement has prompted us to research that very issue.

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