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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Just in Time for Halloween, DOL Fiduciary Rule May Return from the Dead
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Just when we thought the Department of Labor’s (“DOL”) Fiduciary Standard Rule was officially dead, comes word that the Department may be taking another run at a Rule.

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FINRA Did Not Abuse Discretion in Failing to Extend List Due Date. No Implied Offset in Arbitrators’ Award
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FINRA staff acted within authority granted by the Code of Arbitration Procedure when they declined to extend the date for returning arbitrator rankings. And,

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Feds Ban PDAAs in Nursing Home Admission Agreements for Facilities Receiving Federal Funding
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The Centers for Medicare and Medicaid Services has issued final regulations banning nursing homes and long-term care facilities receiving federal funds from using mandatory predispute arbitration agreements.

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DC Circuit Holds Unconstitutional CFPB’s Structure, but Allows the Agency To Keep Functioning
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A divided DC Circuit holds that the Consumer Financial Protection Bureau’s (CFPB) structure, which has a single Director with virtually unlimited, unchecked authority, is unconstitutional.

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