Post Image
PIABA Foundation Teams with AIE for First-Ever Investors Town Hall Meeting
on

The annual meeting of the Public Investors Arbitration Bar Association took place between Oct. 18 and 21 in San Diego. Following that event, on October 29,

...Read More

Post Image
Mini-Survey Shows Firms Are Implementing Rule Requiring Link To FINRA’s BrokerCheck
on

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,

...Read More

Post Image
SEC Approves FINRA Expungement Rule Proposal
on

We have covered extensively FINRA’s proposed new rule that would prohibit conditioning a settlement on a customer’s agreement not to oppose expungement (see,

...Read More

Post Image
FINRA Seeks Comments On Revised Proposal On Links To BrokerCheck
on

We’ve previously covered FINRA’s rule change, first proposed in January 2013 (see, e.g., SAA 2013-10), that would require firms to include in websites and other electronic fora a description of BrokerCheck,

...Read More

Post Image
PIABA Says BrokerCheck Is Missing Key Data and Needs Fixing
on

PIABA issued a press release and report on Thursday, charging that FINRA’s BrokerCheck® system withholds crucial information from investors.

...Read More

Post Image
FINRA Responds To Senators Grassley and Reed On Expungement Part II – FINRA Data On Opposition To Expungements; No Legislation Needed Right Now
on

We reported last week in SAA 2014-04 on part of FINRA’s response to the letter sent to FINRA Chairman &

...Read More

Read Our Recent Blog