FINRA Board Meets — Tables Arbitration-Related Rule Proposals
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FINRA’s Board of Governors met on May 6-7 to consider an array of financial, regulatory and enforcement reports and issues. Prior to this regular meeting of the Board,

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FINRA Stats, 3/19: March Case Filings Continue Weak, Leading to a Quarterly YOY Decline of 28%
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New case submissions by customers are down 29% from the first quarter’s tally for 2018 and industry cases have declined 27%. Overall, 830 new cases were filed in the first quarter;

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An Ideologically Divided SCOTUS Holds 5-4 in Lamps Plus that Class Arbitration Takes Place Only Where the Parties Expressly Provide for It
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In the final arbitration-centric decision of the Term, the Supreme Court on April 24 held 5-4 in Varela v. Lamps Plus, Inc.,

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Senate Judiciary Committee Holds Hearing on “Arbitration in America.” Are Changes Coming to the FAA?
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The full Senate Judiciary Committee held an April 2 hearing titled “Arbitration in America.” Based on the comments and questions from Committee members,

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Democrats Introduce Several Anti-Mandatory Arbitration Bills. What You Need To Know
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by George H. Friedman

SAC Contributing Legal Editor and Board of Editors Member

Ed: As reported in SAA 2019-10 (Mar.

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FINRA Stats, 1/19: The New Year at FINRA-DR Begins with Some Puzzling Twists
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There are some big differences between the way 2018 began at FINRA-ODR and the trends revealed in the recently posted January 2019 statistics.

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