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.
By George H. Friedman*
SAC Contributing Legal Editor and Board of Editors Member
Toward the end of last year, I authored a blog post,