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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The comment period closed July 18 on New Jersey’s proposed fiduciary rule, with somewhat predictable comments. Although the comments are not routinely posted online (ed: really,

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Explained Award Features Settlement and Hearing, Dismissal of Claims and Expungement Dissent
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For this case to unravel the way it did required that the Claimants pursue both the brokers and the firm as Respondents. That’s not terribly common in FINRA arbitration,

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ET TU, MASSACHUSETTS?  SECRETARY GALVIN ANNOUNCES INTENTION TO CRAFT FIDUCIARY RULE
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ET TU, MASSACHUSETTS?  SECRETARY GALVIN ANNOUNCES INTENTION TO CRAFT FIDUCIARY RULE. Following the leads of Connecticut, Maryland, Nevada, and New Jersey, Massachusetts announced its intention to move ahead with its own fiduciary rule.

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***Breaking: SEC Approves Reg Best Interest and Related Proposals
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The SEC voted 3-1 to approve Regulation Best Interest (Reg BI) and three related proposed regulations at an open meeting held June 5.

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SEC to Vote on Reg Best Interest June 5
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The SEC will be voting on approving Reg Best Interest and related proposed regulations at an open meeting on June 5.

As our readers and followers know,

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A Final Assessment of My 2018 Consumer and Employment Arbitration Predictions – Part II
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By George H. Friedman*

SAC Contributing Legal Editor and Board of Editors Member

Toward the end of last year, I authored a blog post,

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