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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Back on the Front Burner for NASAA: New Legislative Agenda Has a Heavy Emphasis on Arbitration
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NASAA in early March released its legislative agenda for the new Congress. Arbitration reform is now a key focus.

The 16-page NASAA Legislative Agenda for the 116th Congress has four core principles: 1) Putting Main Street Investors First;

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Connections: Wandering through BrokerCheck Looking for Links to Arbitration Awards
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BrokerCheck is a big place to explore, but we had a method: before us were the latest Awards issued by FINRA-ODR and our effort was to see how those Awards were reflected in BrokerCheck.

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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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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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