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CFP Board Issues New Procedural Rules Supporting June 30 Enforcement of Final Fiduciary Rule. And FINRA Is Gearing Up for Reg BI
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By George H. Friedman, SAA Editor-in-Chief

As the June 30 enforcement date of the SEC’s Regulation Best Interest (“Reg BI”) approaches, various preparatory steps are rolling out by the regulators.

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FINRA Stats, 3/20: First Quarter 2020 Ends with Little Change in Case Volume from Last Year…, But Wait!
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In our monthly report on the February 2020 statistics FINRA Dispute Resolution Services* (FINRA-DRS) posted at the end of March (see SAA 2020-13), we noted that the case filing statistics were coming in,

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FINRA ODR In-Person Hearings Postponed Again, and AAA Follows Suit. Have We Seen the First FINRA Award with a Virus-Related Virtual Hearing?
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By George H. Friedman, SAA Editor-in-Chief

The FINRA Office of Dispute Resolution (“ODR”) announcement on administrative postponement of in-person hearings through May 31 has been updated to affect hearings though July 3.

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Coronavirus News on SCOTUS & Arbitration
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We issue this “Extra” Alert with breaking news of importance to our readers concerning the Coronavirus pandemic, that we feel should not await our normal publication schedule.

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Coronavirus Update (March 15)
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This new, temporary, section covers Coronavirus-related legislative, regulatory, legal, and scheduling developments impacting the financial and arbitration fields. We will discontinue this temporary feature when the pandemic passes – hopefully soon.

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What’s Past is Prologue – All Over Again. What’s Ahead for Arbitration Filings in the Wake of Recent Volatility
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By George H. Friedman, SAA Editor-in-Chief and Richard P. Ryder, SAC Founder and President

The crashing and rebounding capital markets in the wake of the worldwide Coronavirus outbreak causes the Alert’s George H.

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