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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FINRA-DR Posts Year-End 2018 Statistical Results: December Pops, Pushing Case Inflow to Highest Mark in Seven Years
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The Dow Jones Industrials ended 2017 at 24,719; at the close of business for 2018, the average had dropped to 23,062, an event not seen in many years.

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FINRA Board Approves Two Arbitration Rulemaking Items
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FINRA’s Board of Governors met December 12-13 and approved two major arbitration-related proposals on non-attorney representatives and expungement guidance.

We reported in SAA 2018-47 (Dec.

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FINRA Board Meets This Week; Two Arbitration Rulemaking Items on the Agenda
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FINRA’s Board of Governors was scheduled to meet December 12-13 and consider two arbitration-related proposals according to the posted meeting Agenda.

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Latest SAC Podcast Tackles “Employment Issues in Securities Arbitration in the Wake of Epic Systems”
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The current state of securities industry employment arbitration, including what the Supreme Court’s Epic Systems decision may mean for the financial services sector, were the core topics discussed recently by an experienced panel of securities arbitration experts in the sixth SAC Podcast.

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Award Survey: The State of Expungement as FINRA Contemplates Tightening the Process
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FINRA’s solicitation of comments on a proposal to make expungements more difficult, which we covered in SAAs 2018-07 (Feb. 14), -08 (Feb. 21) &

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