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CFP Board Issues New Procedural Rules Supporting June 30 Enforcement of Final Fiduciary Rule. And FINRA Is Gearing Up for Reg BI
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By George H. Friedman, SAA Editor-in-Chief

As the June 30 enforcement date of the SEC’s Regulation Best Interest (“Reg BI”) approaches, various preparatory steps are rolling out by the regulators.

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That Didn’t Take Very Long! First “Corona Crash” Arbitrations Seem To Already Be on the Way. And a Major Industry Event Is Cancelled
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By George H. Friedman, SAA Editor-in-Chief

The first Coronavirus-related arbitrations may be on the way, caused by a trading platform’s alleged crash as the market was bouncing back in a record way.

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More on the EEOC’s Rescission of its Anti-Arbitration Policy
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By George H. Friedman, SAA Editor-in-Chief

As reported in SAA 2019-48 (Dec. 18), the EEOC has formally rescinded a Clinton-era policy against mandatory arbitration of workplace discrimination claims.

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NASAA’s “E&O Insurance Survey” Makes Case for E&O Insurance as a Treatment for Unpaid Awards 
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Calling it a “key focus for the North American Securities Administrators Association,” NASAA’s Broker-Dealer Section reports, in a 10-page Study released on December 11,

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That Didn’t Take Very Long! Just as Reg BI Goes into Effect, Seven States and DC Sue To Block It
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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.

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Well, We Are Persistent. Comment Period Ended Mid-July on NJ Fiduciary Proposal. Comments Are Not Posted Online but We’ve Pieced Together an Analysis
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By George H. Friedman, SAA Editor-in-Chief

The comment period closed July 18 on New Jersey’s proposed fiduciary rule, with somewhat predictable comments.

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