By George H. Friedman, SAA Editor-in-Chief
FINRA on November 5 filed with the SEC a long-awaited rule amendment that would give investors greater rights when arbitrating with inactive industry parties.
At the tail-end of June SAC brought together for a wide-ranging discussion the current and future Presidents of PIABA — Christine Lazaro and Samuel B.
FINRA has issued a Regulatory Notice seeking comments on Rule changes aimed at better protecting investors from firms with significant regulatory histories. Arbitration is prominently mentioned throughout.
This annual program, now in its 20th year, runs only a couple of hours, but it has a perspective that’s unique and often helpful in uncovering useful practice tips.
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.