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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By George H. Friedman, SAA Editor-in-Chief

The comment period closed July 18 on New Jersey’s proposed fiduciary rule, with somewhat predictable comments.

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The Neutral Corner 2-2019:  FINRA-ODR Updates Arbitrators and Mediators on the Authority’s Latest Activities
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The Neutral Corner, the FINRA Office of Dispute Resolution’s newsletter for neutrals serving its dispute resolution forum, issues now on a quarterly basis;

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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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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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FINRA Issues Regulatory Notice Seeking Comments on Rule Changes To Protect Against At-Risk Firms. Unpaid Arbitration Awards Definitely a Focus!
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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.

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FINRA’s Hearing Location Statistics, 9/18: Focusing on Local Chairs and Chair-to-Case Ratios
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Tap a link that says “table format” above the U.S. map of FINRA hearing locations in the FINRA-DR monthly statistical report and you can see just how many arbitrators FINRA can deploy in each of its hearing locations,

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