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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A Late Comment on RN 17-42, Tougher Expungement Procedures: SEC’s Ombudsman and the Office of Investor Advocate Weigh In
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The SEC’s Office of the Investor Advocate and the Commission’s Ombudsman have submitted a somewhat belated comment on FINRA’s proposed amendments to the expungement procedures,

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Independent Proceedings for Expungement Relief Must Await the Conclusion of the Merits Proceeding
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Directly after the first announcement, which came from FINRA-DR officials at the September 27 PLI Seminar, “Securities Arbitration 2017,” the Authority issued an update to its Expanded Expungement Guidance,

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Securities Arbitration 2017 Seminar Offers a Bevy of Tips for FINRA Arbitration Practitioners
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The seminar, held at the Practising Law Institute in Manhattan on Wednesday, Sept. 27, from 9 a.m. to 5 p.m., included six segments,

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